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Compliance BasicsDo You Know The Risks Posed by Your
Agents and Contractors? Your third party’s actions on your behalf are, to a significant extent, your responsibility, just like those of your permanent employees. But, too often, companies don’t have adequate procedures in place for assessing prospective third party relations, or auditing and monitoring their current agents and contractors. To help you manage this risk more effectively, the Society of Corporate Compliance and Ethics has just published Third Party Essentials: A Reputation/Liability Checkup When Using Third Parties Globally. Written by noted compliance expert Marjorie Doyle, this complimentary brochure includes a checklist to test the health of your organization’s third party controls. Third Party Essentials is available at
no charge. Download a complimentary copy here. It’s the first step
to reducing your third party risk. Click
Here for a Free Copy Simplified Chinese: A Compliance
& Ethics Program on $1 a Day: By Joseph E. Murphy, CCEP Contrary to popular belief, small companies can develop a compliance program very affordably. In this short, insightful brochure you’ll find practical ideas for helping you build an effective compliance and ethics program. And, none of them will break the bank. Download the brochure to learn how simple it can be to build a compliance program at a small company. And, if you’re at a medium or large company, the brochure can help stimulate new ideas for your compliance program as well. Click here for a free copy Also available: Simplified Chinese: “How to Sell” An Effective Compliance & Ethics Program If you have to”make a case” for a compliance and ethics program in your organization this new site contains valuable information and resources that will help you to advocate the benefits of an effective compliance program and to gain the support you need from management and others. Included are a number of tools to help you with this task: support materials, Power Points, statistics, and references to other sources. “Let’s Do It Right” What Can the CEO do to Promote Compliance & Ethics What the CEO Can DO presentation Selling Compliance (and the Importance of Your Job) to Management Reasons For A Strong compliance & Ethics Program Cost of Corporate Fraud far Outweighs Cost of Legal Compliance Defining the Role of the Chief Ethics & Compliance Officer (CECO) By the Ethics Resource Center (ERC), and a working group of the executive directors of ERC, Business Roundtable Institute for Corporate Ethics, the Ethics and Compliance Officer Association (ECOA), the Open Compliance and Ethics Group (OCEG), and the Society of Corporate Compliance & Ethics (SCCE). click here for more. Ethics Resource Center Paper Leading Corporate Integrity: Defining the Role of the Chief Ethics and Compliance Officer Metcalf & Eddy Settlement U.S. Sentencing Guidelines Revisions: The Thompson Memo: The McNulty Memorandum Click here to view: "Prepared Remarks of Deputy Attorney General Paul J. McNulty at the Lawyers for Civil Justice Membership Conference Regarding the Department's Charging Guidelines in Corporate Fraud Prosecutions," Click here to download the McNulty Memorandum "Caremark" Decision Compliance Requirements: Rules and Standards SEC puts out for public comment rules of internet availability of
proxy material Additional Form 8-K disclosures: Accelerated Filing Date 3/16/04 XBRL Voluntary Financial Reporting Program on the Edgar Postponement: Final Phase-In for Accelerated Filing The FASB proposal requiring companies to recognize the cost of
employee stock compensation in financial statements The Securities and Exchange Commission adopted changes to rules
regarding various processes regulated under the provisions of the
Securities Act of 1933 Overview of the U.S. Sentencing Commission and the Federal Sentencing
Guidelines Executive Compensation Disclosure Proposed SEC Rule: Proposed
amendments to the Executive Compensation disclosure requirements Executive Compensation Disclosure: Final adopted amendments to the
Executive Compensation disclosure requirements Program Evaluation |
