Compliance and Inconsistent Discipline


This week I had the good fortune to attend a luncheon of compliance professionals here in Boston, where we talked about the Justice Department’s new guidelines for evaluating the effectiveness of compliance programs. Our host was Vincent DiCianni, founder of Affiliated Monitors, and he hit upon a great point about what really matters for successful…

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New Compliance Evaluation Guidelines


The Justice Department released Tuesday a fresh set of guidelines on how prosecutors should evaluate corporate compliance programs: a much longer document, with more narrative explanation about what the Justice Department considers important. Compliance professionals should prepare to obsess over it like last Sunday’s Game of Thrones episode. Assistant attorney general Brian Benczkowski unveiled the…

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Oh F—! Ethics Boss Quits on Swearing Scandal


Talk about going off the rails: the head of the New York-New Jersey Port Authority’s ethics committee has resigned after a video surfaced of her swearing at police officers who had pulled over her daughter during a traffic stop. Caren Turner, appointed to the board of the Port Authority last year, quit abruptly on April…

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Party Alert! Boston Compliance Meetup

Calling all compliance, audit, and risk professionals around Boston: we’ll be hosting another after-work cocktail party on Tuesday, Feb. 6. All are welcome to attend, meet colleagues, and talk shop. A few compliance enthusiasts in town (me included) have been trying to hold these networking events every other month. Boston doesn’t have nearly as much…

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Future of the ‘Effectiveness Questions’

The other day a compliance officer asked me an interesting question: What’s going to happen to the Justice Department’s guidelines for evaluating the effectiveness of compliance programs? After all, the Trump Administration talks all the time about streamlining regulation. Deputy attorney general Rod Rosenstein has given a series of speeches this fall promising reviews of…

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