What happens when certain people request “special” treatment?

Policies, processes, and procedures are put in place to prevent certain behavior that may harm the organization.  What happens when, because of the personality or position of the person involved, the processes are ignored or avoided?

Two articles on page one today.

“Banks Missed Clues In 1MDB Scandal,” The Wall Street Journal, September 6, 2016 A1.  Due to the cooperation of bankers with a friend of the Malaysian prime minister, $3.5 billion gets embezzled.

“Records Releases Loom for Clinton,”The Wall Street Journal, September 6, 2016 A1. FBI says Secretary Clinton had “little command of basic requirements” for protecting government secrets.  Her staff deleted emails after receiving a subpoena.   Section 18 USC Sec. 1519 makes that a felony.

Whenever someone asks for an exception to the normal processes, a large balloon should go up.  The employees who get these requests have a duty to report up — to the very top, if necessary.

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Filed under Business Case, Compliance, Controls, Duty, Duty of Care, Employees, Governance, Internal controls, Risk, Third parties

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