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Swiss Fund Moves, Swaps Rule Testimony, GDF: Compliance

ReputationalCompliance January 17, 2013 0

Swiss hedge fund managers are considering relocating to neighboring Liechtenstein to sidestep tougher regulations being introduced in Switzerland and gain access to the European Union, PricewaterhouseCoopers LLP said

Are ethics in business still important?

ReputationalCompliance October 5, 2012 0

In April, Walmart, the world's largest retailer, was accused in a scandal in which the former CEO of its operations in Mexico allegedly orchestrated $24 million in bribes to Mexican officials to streamline construction

The Role of a Board in Compliance and Ethics: How We Arrived and Where We Are Going

ReputationalCompliance July 26, 2012 0

Yesterday, the Houston Astros traded Wandy Rodriguez, the last remaining member of the 2005 National League (NL) champs. The Astros have traded away their five ‘top’ players over the past three weeks, coincidently turning

This is not a compliance failure. It’s an ethical failure

ReputationalCompliance July 2, 2012 0

In the movie “Margin Call” the character played by Jeremy Irons says that there are three ways to lead in business: (1) Be the smartest; (2) Be there first; (3) Cheat. I thought about

AML and FCPA “Due Diligence”: Apples and Oranges?

ReputationalCompliance July 2, 2012 0

The term “due diligence” is bandied about among compliance professionals. Let’s stop a moment and consider the different contexts. Anti-money laundering “due diligence” is a lot different than FCPA “due diligence.” FCPA

Imagine a “Mandatory” Disclosure Requirement: It’s Easy if You Try

ReputationalCompliance June 27, 2012 0

Looking for a good measure of business ethics? As a teenager, I was a Rotary International exchange student to Germany for a year. I still think Rotary’s Four-Way Test is a wonderful yardstick

Empowering Compliance Officers: The Key to an Effective Compliance Program

ReputationalCompliance June 1, 2012 0

Too many companies have the basic “bare bones” compliance program. They are inadequate and accomplish very little in making sure that a company compliance with the law. A bare-bones program consists of

Putting Together a Due Diligence Package

ReputationalCompliance May 28, 2012 0

FCPA bloggers can be repetitive. We like to repeat important points. How many more times do we have to remind everyone on the importance of documentation? In the interest of originality, I wanted to address