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Yes, Codes Are Important...

Yes, Codes Are Important...


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

Code of Conduct News

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Reuters reports that the International Federation of Pharmaceutical Manufacturers and Associations (IFPMA) is strengthening the code of practice covering drug company behaviour to ensure "the highest ethical and professional standards"...

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OFT Code of Practice On Visits to Businesses


The UK Office of Fair Trading (OFT) has released a Code of Practice: Visits to businesses under the Money Laundering Regulations 2007 (October 2011), which provides businesses with information on...

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