Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Cyber, Fraud, General Counsel, Governance, Internal Audit, Process Improvement, Proxy, Regulatory, Risk Assessment, Risk Management, SEC Jonathan T. Marks Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Cyber, Fraud, General Counsel, Governance, Internal Audit, Process Improvement, Proxy, Regulatory, Risk Assessment, Risk Management, SEC Jonathan T. Marks

Board Members Take Note: SEC Chair Clayton Speaks on 2019 Initiatives and Market Risks

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Board of Directors, Bribery, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Cross Border Investiga..., DOJ, Ethics, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Fraud, Fraud Investigations, Fraud Risk Management, General Counsel, Governance, GRC, Internal Audit, Internal Controls, Investigations, Regulatory, Remediation, Risk, Risk Management, Whistleblower, White Collar Crime Jonathan T. Marks Board of Directors, Bribery, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Cross Border Investiga..., DOJ, Ethics, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Fraud, Fraud Investigations, Fraud Risk Management, General Counsel, Governance, GRC, Internal Audit, Internal Controls, Investigations, Regulatory, Remediation, Risk, Risk Management, Whistleblower, White Collar Crime Jonathan T. Marks

Focus on the Bad Actors! DOJ Outlines Key Policy Revisions Re-Focusing on Individual Accountability

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Analytics, Anti-fraud, Audit, Automation, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Data, Data Integrity, Forensic Accounting, Fraud, Fraud Investigations, Fraud Risk Management, Governance, GRC, IIA, Internal Audit, Internal Controls, Investigations, Monitor, Monitoring, Process Improvement, Regulatory, Risk, Risk Management, Robotic, White Collar Crime Jonathan T. Marks Analytics, Anti-fraud, Audit, Automation, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Data, Data Integrity, Forensic Accounting, Fraud, Fraud Investigations, Fraud Risk Management, Governance, GRC, IIA, Internal Audit, Internal Controls, Investigations, Monitor, Monitoring, Process Improvement, Regulatory, Risk, Risk Management, Robotic, White Collar Crime Jonathan T. Marks

Robotic Process Automation: Using Technology for Forensic Investigations and Compliance

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Anti-fraud, Audit, Audit Committee, Board of Directors, Books and records, Bribery, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Cross Border Investiga..., Culture, DOJ, Due Diligence, ERM, Ethics, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Fraud, Fraud Investigations, Fraud Risk Management, General Counsel, Internal Audit, Internal Controls, Investigations, Process Improvement, Red Flag, Regulatory, Related Party, Remediation, Risk Assessment, Risk Management, Root Cause, SEC, Skepticism, Third Party, Training, White Collar Crime Jonathan T. Marks Anti-fraud, Audit, Audit Committee, Board of Directors, Books and records, Bribery, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Cross Border Investiga..., Culture, DOJ, Due Diligence, ERM, Ethics, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Fraud, Fraud Investigations, Fraud Risk Management, General Counsel, Internal Audit, Internal Controls, Investigations, Process Improvement, Red Flag, Regulatory, Related Party, Remediation, Risk Assessment, Risk Management, Root Cause, SEC, Skepticism, Third Party, Training, White Collar Crime Jonathan T. Marks

Fraud and Related Party Transactions

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Board Member Composition: Participants, Passengers, and Prisoners?
Audit, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Culture, Directors, Due Diligence, Ethics, General Counsel, Global, Governance, GRC, Regulatory, Risk, Risk Assessment, Risk Management, Sarbanes-Oxley, Skepticism, Training, Whistleblower, White Collar Crime Jonathan T. Marks Audit, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Culture, Directors, Due Diligence, Ethics, General Counsel, Global, Governance, GRC, Regulatory, Risk, Risk Assessment, Risk Management, Sarbanes-Oxley, Skepticism, Training, Whistleblower, White Collar Crime Jonathan T. Marks

Board Member Composition: Participants, Passengers, and Prisoners?

As the organization's ultimate decision-making body, the board of directors plays two critical roles: overseeing management on behalf of shareholders and other constituencies; and advising management, albeit with limited involvement in everyday company operations - nose in, hands off! The board should not attempt to run the organization's operations; it should oversee how management runs the company. I am amazed at how many members are disengaged, which reminded me that one of the traits of an effective leader, or Pilot, is being a good team builder. But how can you build a good team if you don't understand the players? I'm not speaking about understanding their skills; I am speaking about understanding their level of engagement. That is an amorphous concept most ignore.

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Audit, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Crisis Management, Culture, DOJ, ERM, Ethics, Fraud, Fraud Risk Management, General Counsel, Global, Governance, GRC, IIA, Process Improvement, Regulatory, Risk Assessment, Risk Management, Root Cause, SEC, Thought Leadership Jonathan T. Marks Audit, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Crisis Management, Culture, DOJ, ERM, Ethics, Fraud, Fraud Risk Management, General Counsel, Global, Governance, GRC, IIA, Process Improvement, Regulatory, Risk Assessment, Risk Management, Root Cause, SEC, Thought Leadership Jonathan T. Marks

Corporate Governance - Commonsense Principles 2.0

Corporate governance is the collection of systems and processes that an organization has in place to prevent or dissuade potentially self-interested persons from engaging in activities detrimental to the welfare of shareholders and stakeholders and helps to promote better overall decision making.

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ACFE, Audit, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Crisis Management, Cross Border Investiga..., Culture, Damages, Dodd-Frank, DOJ, Ethics, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Fraud, Fraud Investigations, Fraud Risk Management, General Counsel, Global, Governance, Hotline, IIA, IIA Philadelphia, Internal Audit, Internal Controls, Investigations, Money Laundering, Monitorship, Regulatory, Risk, Risk Assessment, Risk Management, Root Cause, SEC, Skepticism, Third Party, Thought Leadership, Training, Whistleblower, White Collar Crime Jonathan T. Marks ACFE, Audit, Audit Committee, Board of Directors, Chief Audit Executive, Chief Compliance Officer, Compliance, Compliance Coordinator, Corporate Fraud, Crisis Management, Cross Border Investiga..., Culture, Damages, Dodd-Frank, DOJ, Ethics, FCPA, Foreign Corrupt Practi..., Forensic Accounting, Fraud, Fraud Investigations, Fraud Risk Management, General Counsel, Global, Governance, Hotline, IIA, IIA Philadelphia, Internal Audit, Internal Controls, Investigations, Money Laundering, Monitorship, Regulatory, Risk, Risk Assessment, Risk Management, Root Cause, SEC, Skepticism, Third Party, Thought Leadership, Training, Whistleblower, White Collar Crime Jonathan T. Marks

Compliance Thought Leaders You Should Be Following

Compiling a list of thought leaders in ethics and compliance is fun, but so challenging. There are simply too many thoughtful people in this field — which is itself enormous and wide-ranging — to call out everyone worth following. So below is a small slice of the thinkers in corporate ethics and compliance that I try to follow.

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Audit, Audit Committee, Board of Directors, CCO, Chief Compliance Officer, Chief Legal Counsel, Compliance, Compliance Coordinator, DOJ, Ethics, Fraud, General Counsel, Governance, Regulatory, Risk, SEC Jonathan T. Marks Audit, Audit Committee, Board of Directors, CCO, Chief Compliance Officer, Chief Legal Counsel, Compliance, Compliance Coordinator, DOJ, Ethics, Fraud, General Counsel, Governance, Regulatory, Risk, SEC Jonathan T. Marks

Structural Integrity! Chief Compliance Officer v. General Counsel - Should They Be Separate?

Lack of separation of the CHIEF COMPLIANCE OFFICER and the GENERAL COUNSEL has been cited as a cause of numerous corporate failures. In fact, separation is now the norm in Health Care organizations. In spite of numerous recommendations to separate the two functions, there is general agreement that the roles are closely related and frequent collaboration is required.The issues relating to separation of the CHIEF COMPLIANCE OFFICER and the GENERAL COUNSEL are most often discussed in terms of the differences in their roles (below).

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