Compliance Programs in 2017: Stop Guessing, Start Doing 15:11, December 2, 2016

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Author: Douglas Kelly

A changing political climate produces a lot of news stories. As with any incoming presidency, legal experts forecast the future of federal laws and regulations under a different administration, and agencies make staffing changes to prepare for 2017. Sure, forecasting can help us plan. But we shouldn’t miss out on action items we can incorporate […]

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We talk a lot about data security. We do it partly because it’s a top compliance priority for companies. But we also want to make sure we inform professionals like you about legal updates and trends, because that’s what we do and we all should be a little literate in the essential things in life. Data […]

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Earlier this year, the US Department of Labor (DOL) passed a rule about handling retirement accounts. While the new rule is pretty technical, it provides a simple example of a conflict of interest that affects everyday people and internal incentive structures. People invest in IRAs and 401(k)s for their retirement. An administrator manages those accounts […]

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Perceptions created by headlines from the Washington Post (“Kickbacks, dirty deals and more: The corruption scandals plaguing Latin America,”) and opinion pieces in the New York Times (“South America’s Culture of Graft”) as well as the Petrobras and Panama Papers scandals paint Latin America as a hotbed of corruption. But is this really true? Digging […]

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The New York Department of Financial Services (NYDFS) proposed its Cybersecurity Requirements for Financial Services Companies regulation, a comprehensive action to, as New York Governor Andrew Cuomo put it, “guarantee the financial services industry upholds its obligation to protect consumers and ensure that its systems are sufficiently constructed to prevent cyber-attacks to the fullest extent […]

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LawRoom had the opportunity to attend the Association of Corporate Counsel (ACC) Annual Meeting in San Francisco. In-house counsel, compliance experts, and industry leaders from companies provided topical insights into critical legal issues facing businesses of all sizes. The most interesting conversations hovered around data security. Lawyers weighed in from Gap, Dell, Intel and Zurich […]

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This year Ontario strengthened its position on workplace sexual harassment by passing Ontario Bill 132. Known as the Sexual Violence and Harassment Action Plan Act (Supporting Survivors and Challenging Sexual Violence and Harassment), Bill 132 increased employer obligations to ensure Ontario workers work “without the threat and experience of sexual violence, sexual harassment, domestic violence and […]

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The Integrity Vice President (INT), an investigative unit of the World Bank, released a report on its efforts to end corruption with business partners and within the World Bank itself. Called the Annual Update for 2016, the report is a rare look into an organization’s compliance program and provides anti-bribery and anti-corruption takeaways. Major Types […]

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Most large organizations have a conflicts of interest policy and associated rules. Knowing what a conflicts of interest policy includes and how it should be followed is a compliance imperative. Background For many, conflicts of interest rules can be found in a company’s code of conduct, which typically outlines ethical behavior within the workplace. Generally, […]

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A new sexual harassment training mandate is now effective in California. Signed on September 29, 2016, AB 1661 mandates local agencies to train officers and elected officials in sexual harassment prevention. Local agencies are any “city, county, city and county, charter city, charter county, charter city and county, or special district” in California. AB 1661 requires […]

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