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Yes, Codes Are Important...

Yes, Codes Are Important...

06-29-2012

As we learned from the recent Morgan Stanley corruption probe, compliance programs do work, and they do matter.  Unfortunately, every organization will have its bad apples – it’s the law...

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Read this whitepaper to gain insight into assessing the maturity of your compliance program, including sections focused on:

  • Assessing your organizational risks and culture
  • Policies and procedures
  • Education and communication
  • Reporting, monitoring and auditing
Published in Whitepapers

Read this whitepaper to gain insight into the steps and technology necessary to address the recent guidance from the CFPB around “Responsible Conduct,” including:

  • Automation of Processes
  • Central Visibility and Control
  • Proof of Compliance
  • Transparency with Regulators
Published in Whitepapers

Read this whitepaper to gain insights into:

  • Effectively developing compliance and ethics policies and procedures
  • Identifying necessary policies and procedures
  • Drafting policies and procedures
  • Implementing and managing policies and procedures
  • Communicating policies
Published in Whitepapers

Read this whitepaper to learn the specifics about key best practices including:

  • Providing as many points of contact as possible
  • Offering anonymity, but encouraging personal contact
  • Acknowledging receipt of issues and acting promptly
  • Developing an internal process and enforcing it
  • Acting consistently and transparently
  • Maintaining centralized, accurate records and documentation
  • Limiting data access to required personnel
  • Ensuring that SOX-required reports are available

Published in Whitepapers

Read this whitepaper to gain insight into:

  • The recent changes to the US Federal Sentencing Guidelines and how evolved programs are better prepared for these changes
  • Recent pronouncements about what makes a compliance and ethics program 'effective'
  • The need to proactively address 'risky' behaviour
  • The differences in how assessments and metrics are used in organizations of different 'compliance program maturity'
Published in Whitepapers

Read this whitepaper to gain insights into:

  • why the Code is the foundation of an organization's culture
  • understanding the strategic objectives of a Code
  • analyzing the intent of the Federal Sentencing Guidelines' 'reasonable steps'
  • developing a holistic Code program using a 5-step approach that incorporates aspects from creation to measurement
Published in Whitepapers

Read this whitepaper to gain insights into strategically developing a code that:

  • reduces costs and mitigates risks
  • preserves brand and company reputation
  • enhances communication, collaboration and overall employee behaviour
  • differentiates your company's approach to creating value

Published in Whitepapers

Read this whitepaper to gain insights into the essential elements of content and process:

  • setting expectations for all stakeholders
  • bridging the gap between mission and values on one side and policies and procedures on the other
  • communicating clearly and effectively with words and images
  • providing practical examples and behaviour that employees can model

Published in Whitepapers

Read this whitepaper to gain insights into:

  • best practices to adopt when planning, managing and rolling out an enterprise-wide business ethics training programme
  • top tips to follow to ensure a successful business ethics training programme
  • case studies demonstrating how global companies have rolled out proven business ethics programmes

Published in Whitepapers

Read this whitepaper to explore:

  • Tips for linking ethics reporting and hotline data into a case management system
  • Best practices for building an effective hotline submission process using knowledgeable call center listeners and well-designed Web submission forms
  • Examples of effective ethics hotline policies and a case handling architecture
  • The role of the Board of Directors and Tone at the Top in overseeing the effectiveness of an organization's ethical culture

Published in Whitepapers

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