It is always interesting to learn how companies handle specific compliance issues. Years ago, I could always tell when a compliance department was lacking in stature and independence in a company. Typically, I observed three important indicators – a compliance department that was stuck in the legal department reporting to the general counsel; mired in detailed gifts, meals and entertainment reviews and approvals; and devoted...

The healthcare industry continues to be a frequent target for criminal prosecutions. More importantly, federal prosecutors are ready, willing and able to bring criminal cases against C-Suite actors involved in healthcare fraud cases. Sometimes prosecutors win their cases, and sometimes they lose. That is just the nature of the beast. ArthroCare stands as yet another example of the destruction of a company resulting from C-Suite...

Sometimes a bad idea just will not die. Sometime commentators like to return to simplistic solutions that sound good on paper. These same commentators have failed to address the practical concerns that outweigh any possible rational for enacting the so-called FCPA compliance defense. This debate has been going on for a while and I expected the idea to die out. Recently, I saw renewed discussion...

Just when everyone was anticipating the beginning of an uptick in FCPA enforcement in 2017, the Justice Department and the SEC delivered a resounding message to remind everyone that FCPA enforcement is here to stay. However, the Telia decision may be the first indication of some changes in DOJ’s FCPA enforcement policies. It is hard to say from just one major DOJ enforcement action but...

Chief compliance officers have to be honest with themselves. While I am optimistic about the growing importance of the compliance function, I remain concerned that CEOs and senior management are slowly strangling ethics and compliance programs through delays and denials of needed human and support resources to implement an effective ethics and compliance program. So, my question to CCOs is an important one – are...

Chief compliance officers have to throw out their template for charts, diagrams and data that they use to report to the Audit/Compliance Committee and start over. Slick and colorful charts and diagrams are great but CCOs are ignoring the importance of an opportunity to educate and train the board on how to monitor and oversee a compliance program. So, let’s start over – what should...

People are getting confused. A company’s ethical culture is not a touchy-feely concept that makes everyone warm and cozy all over. At the same time, compliance controls are not hard and fast rules that are mechanically enforced with no regard to purpose or results. I always get frustrated when people like to classify concepts as either black and white. People are uncomfortable with grey concepts,...