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“Catch me if you can!” Monitoring & Review is an essential component that adds value to any Compliance [...]
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Compliance Management
Compliance Management
Episode 11: Due diligence and integration into M&A processes
“I check every offer. It could be the offer of my life." (Henry Ford) Due diligence plays a major role in the transaction business. It [...]
Compliance Management
Episode 10: Managing Business Partners
In order to denote uncharted and possibly dangerous territories, ancient maps sometimes display the warning "Hic sunt dracones" [...]
Compliance Management
Episode 9: Reporting system, investigations, sanctions, and incentives
Lady Justice carries not only scales, but also a sword. Compliance programs are designed to avert problems, but they do occur. When they [...]
Compliance Management
Episode 8: Communication, Training and Consulting
Compliance officers generally see informing employees about relevant compliance topics and providing training appropriate to the risks [...]
Compliance Management
Episode 6: Management’s Commitment and Obligations
"For if the trumpet give an uncertain sound, who shall prepare himself to the battle?" 1. Corinthians [...]
Compliance Management
Episode 5: Compliance Processes – Establishing the Framework
In episode 4 of this series, we saw that guidelines – often called "policies" – are the backbone of a CMS.
What exactly [...]
Compliance Management
Episode 4: Compliance Guidelines – Defining the Framework
Solid guidelines – often also called "policies" – are the basis for a Compliance Management System (CMS) which builds binding [...]
Compliance Management
Episode 3: Risk Assessment – Set and Stay the Course
Careful risk analysis and assessment are the central elements of an effective Compliance Management System (CMS). A look [...]
Compliance Management
Episode 2: “Who am I – and if so, how many?”[1]
Criminal conduct is ubiquitous, permeating all societies, social classes, and organizations. Companies – and above all, management – [...]
Compliance Management
Episode 1: “How do you eat an elephant?”
How do you eat an elephant? “Piece by piece” is the answer you’ll find in career guides and project-management handbooks. This wisdom [...]
Compliance Projects – An Enormous Challenge for Compliance Departments
Legal and compliance departments have to deal with a constant stream of new regulations. At regular intervals, we receive news of changes [...]
