Companies face an ever-changing constellation of risks, enforcement priorities and demands for internal controls and compliance program elements. As more resources are poured into government enforcement programs, companies have to “reinvent” compliance programs to incorporate new priorities and demands. Many companies have established complaint systems and internal investigation programs to conduct routine and serious investigation. In most cases, these systems do not adequately address whistleblower...

Mexico has amended its laws and administrative procedures to implement a new and aggressive administrative anti-corruption regime. Mexico’s efforts have won praise from the OECD and other anti-corruption interest groups. The law extends new anti-corruption prohibitions beyond the federal level but to Mexican states and local governments. In the face of continuing controversies surrounding corruption in Mexico, President Pena Nieto, who ran a campaign in...

In an important decision, on July 6, 2016, the Eighth Circuit Court of Appeals affirmed the prison sentences imposed on Jack DeCoster, and his son, Peter, under the “responsible corporate officer” doctrine (aka Park doctrine) for their role in distributing eggs tainted by salmonella. (Here). In 2010, approximately 56,000 persons fell ill from salmonella after eating contaminated eggs. The outbreak was eventually traced back to...

The term “due diligence” is an overused expression in the compliance world. It has become a term to mean heightened concern or investigation. No one can really define what it means except to say it has different meanings in different contexts. Some would say it is a term of art in the legal and compliance world. It is misleading to add the term “investigation” to...

The FCPA statute is not as vague as some contend. I remember the words of a former FTC Chairperson who told me once – “The Clayton Act is not vague. I just read the law and apply it to the facts.” Not to be too simplistic, I recognize there are legitimate disputes surrounding application of the FCPA to specific situations. As one example, I have...

The next time we read about a train wreck of corporate malfeasance – be it in the anti-corruption, money laundering, financial reporting or any other space you can think of – please do not shrug your shoulders and shake your head from side to side. Instead, let’s consider how the board and senior management handled the specific matter, why they failed to address any concerns...

Just to add my voice to the cottage industry surrounding FCPA enforcement and compliance, I wanted to take a deep breath and offer some observations on FCPA enforcement in 2016. There are a few significant headlines for the year so far, and I suspect more to come as we get close to the end of the year when FCPA enforcement usually picks up a little...

August 18,2016 1 -2 PM EST Sign up Here Farzad Barkhordari, President of Workplace Answers, and Michael Volkov, CEO of The Volkov Law Group, LLC, are pleased to announce a joint webinar to discuss best practices for effective compliance training programs.  Farzad and Mike plan to outline strategies and practical applications to successfully incorporate training into your overall compliance program. The webinar will cover: Legal...

We are pleased to announce that one of sponsors, Click 4 Compliance, has joined forces with Workplace Answers, the leading online compliance training solution for human resource professionals. Click 4 Compliance is a well-recognized name in providing eLearning training for corruption, bribery, due diligence, business ethics and other relevant topics.  By joining forces, I am confident that Click 4 Compliance and Workplace answers will be...

I am not one to beg but I have decided I have nothing to lose here – please, when it comes to compliance, everyone has to adopt a new mantra. The purpose of compliance is not to prevent legal and code of conduct violations. Such a purpose is way too limited in scope and almost guarantees failure, because at one time or another, company employees...