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‘Tis the Season to Remind Employees about Your Gift and Hospitality Rules

‘Tis the Season to Remind Employees about Your Gift and Hospitality Rules

11-13-2013

With the winter holidays approaching, it’s a good time to refresh employees’ memories about your company’s gifts and hospitality rules. The general message to employees should be absolutely clear:  follow...

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Thinking About Deploying a Conflicts of Interest Questionnaire?

Thinking About Deploying a Conflicts of Interest Questionnaire?

03-06-2013

Deploying a conflicts of interest questionnaire can be pretty simple once you get the ball rolling.  Data gathered from this type of event can be critical to making appropriate disclosures...

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Read this whitepaper to gain insights into:

  • understanding the five steps to designing a thorough and effective, yet practical, conflicts of interest policy
  • training all levels of staff and management
  • deploying disclosure questionnaires to increase transparency
  • reporting that engages senior management and the Board
  • improving business ethics over the long term 
Published in Whitepapers

SAI Global Compliance commissioned a blind survey of chief compliance officers and ethics professionals in December 2013. Respondents to the online survey included a total of 299 executives. Of that group, 31% reported their organizations have more than $3 billion in sales and 53% had 5,000 or more employees. The plurality, 40%, was from public companies and the industries represented included healthcare, financial services, insurance, health insurance, manufacturing and more.

Published in Whitepapers

Driven by regulatory mandates such as the UK Anti-Bribery Act, the U.S. Foreign Corrupt Practices Act and the U.S. Physician Payment Sunshine Act, organizations from varying industries are seeking efficient methods for collecting disclosure data from employees, board members, and affiliated third parties related to ethics and compliance policies and procedures.

The approaching holiday season is an ideal time to review and reinforce your corporate compliance program policies on gifts & entertainment and the role that learning and other Conflicts of Interest communication tools and practices can play in raising employee awareness in order to avoid risks and mitigate common pitfalls.

Published in Learning: Guided Tours

Presented by:

Laura Lonsdale, Sr. Compliance Counsel, Office of Business Conduct & Ethics at Pentair Ltd.

Jim Slavin, Chief Ethics Officer and Vice President, Advisory Services at SAI Global

Published in Webinars

Typically, Conflicts of Interest cannot be defined in black and white terms. It is very much a grey area that demands deliberate and critical review to uncover your organization’s exposure to a variety of risks. Risks that may include: your organization’s stance of gifts and entertainment; relationships with third-parties and/or family that might threaten the integrity of your organization; or employee activities outside of the workplace that may introduce unwanted perceptions and elements of risk.

Published in Learning: Guided Tours

The UK Bribery Act will see senior board members held liable and fully accountable for the actions of their employees and third parties under the new corporate offence of ‘failure to prevent bribery’. Sam Eastwood, Norton Rose, discusses the impact of the UK Bribery Act and how it will influence the varied Gifts, Hospitality and Entertainment culture across industries worldwide.

Published in Expert Commentaries

Read this whitepaper to gain insights into:

  • gift giving and receiving – the cultural challenges
  • hospitality and entertainment - where do organizations draw the line?
  • how to determine what's excessive and what's reasonable
  • practical steps companies can take to ensure they don't fall foul of The UK Bribery Act with respect to gifts, hospitality and entertainment  

Published in Whitepapers

Webinar Presented by:

Sam Eastwood, Partner, Norton Rose LLP

Pedro Montoya, Group Chief Compliance Officer, EADS

Philippa Foster-Back OBE, Director, Institute of Business Ethics

Published in Webinars

Conflicts of Interest News

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Former Prime Minister Convicted for Conflict of Interest, Fraud and Breach of Trust

03-30-2015

The Guardian reports that in a retrial on corruption charges, former Israeli prime minister Ehud Olmert has been been convicted on charges of fraud and breach of trust, after the...

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SEC Approves New Requirements for Credit Rating Agencies

08-27-2014

The United States Securities and Exchange Commission (SEC) has announced its adoption of new rules and amendments that require significant credit rating agency oversight.

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"Independent" Auditor Lobbied Congressional Staff: US$4 Million Settlement

07-16-2014

The United States Securities and Exchange Commission (SEC) has ordered (14 July 2014) Ernst & Young (EY) to pay more than US$4 million to settle charges that it breached auditor...

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Bank and Trader Fined for Conflict of Interest Matter in Gold Fixing

05-28-2014

The United Kingdom Financial Conduct Authority (FCA) has fined (23 May 2014) Barclays Bank more than £26 million for failings in its systems and controls and its management of potential...

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US$8.2 Million Settlement Regarding Auditor Independence

01-30-2014

The United States (US) Securities and Exchange Commission (SEC) has announced that public accounting firm KPMG has agreed to pay US$8.2 million to settle charges that it breached auditor independence...

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Bank Tells Staff to Avoid, Quit Investments in P2P Loans

01-22-2014

Wells Fargo & Co (Wells Fargo) has asked its staff to refrain from lending their own money using peer-to-peer (P2P) loan platforms. Reportedly, the request follows the United States-based bank's...

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Regulator Urges Firms to Better Manage Conflicts of Interest

10-17-2013

The United States Financial Industry Regulatory Authority (FINRA) has released Report on Conflicts of Interest (October 2013), which follows a FINRA review of the broker-dealer industry and its conflicts management...

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Consulting Firm Agrees to Fine and Temporary Ban Following New York Departmental Action

06-19-2013

The New York State Department of Financial Services (DFS) has made available an agreement (18 June 2013) under which Deloitte Financial Advisory Services (Deloitte) has agreed to pay US$10 million...

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