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Effective compliance programs increase morale and employee retention through a sense of shared purpose. Within an organization, the compliance department can raise the spirit and tone of the workplace. It’s all about building an ethical culture.


Compliance communications that fall short

Mean what you say, and say what you mean. In the 1990s, it was fashionable for businesses to develop mission…

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Practical Guidance

Why “it’s a regulatory requirement” might not be the best explanation

Christian H (originally posted at, Feb. 17, 2019) Telling people to do something because it is a “Regulatory Requirement” is a widely used technique to drive compliance within organisations.  In this article, I explore why that might not be such a good idea. Framing One of the fascinating aspects of Behavioural Science is that small changes to an environment can have a massive impact on our decision-making. A good example is Framing; the idea that the way in which things are presented to us will impact how we perceive them. By understanding how things are “framed” and what impact that has on…

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Practically speaking: defining a code of ethics and a code of conduct

Nicole Zwieg Daly, J.D, Ed.D. An idea worth noting. The terms “Code of Ethics” and “Code of Conduct” are often used interchangeably - this is a mistake. These are two unique documents. A code of ethics governs employee decision-making. A code of conduct governs employee action(s). Businesses should have both a code of ethics and a code of conduct to reasonably ensure an organization's ethical and compliant workplace processes. These documents help prevent problems, but if a violation occurs, they can also help show that the company made an effort to train employees. That effort can result in reduced penalties.

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