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Compliance Issues & AnswersGood Practice Guidance on Internal Controls, Ethics, and ComplianceAdopted 18 February 2010 Recommendation of the Council for Further Combating Bribery of Foreign Public Officials in International Business Transactions26 November 2009 Anticipating and Planning for the Next Big Compliance
Issue: Over the last few years the compliance community has had to adjust to success waves of changes in priorities as “new” compliance issues are identified. With each new issue that arises compliance teams are forced to scramble to put in place programs to manage this new, suddenly hot risk area. Training must be developed, broad communication plans are put in place, systems are examined, controls are implemented and tested. Yet, each of these responses are reactive, which means there is a gap between the controls in place and the risks that exist. To help change the dynamic the Society of Corporate Compliance and Ethics conducted a series of interactive workshops in 2009 to:
There was also a third, and perhaps more important purpose for these sessions: to find the common elements of the solutions developed to create a framework that compliance professionals could use to meet virtually any new challenge. Put another way, the goal was to answer the question: how can I be prepared no matter what new risk comes my way? Download Survey Results to learn what issues were identified and ideas for how to manage them. ACE Offers Guidance on Conflicts of Interest in Higher Education Washington — The American Council on Education has released a working paper meant to provide guidance to college administrators on conflict-of-interest issues. The paper outlines the kinds of policies that higher-education institutions should have in place, along with situations that administrators should consider under conflict-of-interest policies, such as when a college official can accept a gift or own stock in a company. The paper also covers conflicts of interest that institutions might face in research or commercial deals, such as when a vendor offers a gift to an institution. The paper is available by clicking here New Rules For Federal Contractors If You Work with the Federal Government New Compliance And Ethics Rule Effective December 24, 2008.
SCCE Recorded Audio Conference The Importance of Board Oversight of a Company's
Compliance Program: The Implication of Stone v. Ritter . Article written by Rebecca Walker, partner law firm Kaplan & Walker LLP, published in Compliance & Ethics magazine April, 2007. The Implications of Stone v. Ritter Ethics Rule Proposed For Federal Contractors For more info click here How can the CEO make the difference? Too many companies have made the headlines because of illegal and unethical conduct. The cost to a company in terms of fines, penalties, reputation and lost business can be staggering. The individual costs to those involved can be shattering. We hear much about the need for the right tone at the top, but what does this mean in practical terms? The following is just one list of ideas for executives to consider. A creative executive, working with his or her compliance and ethics professional, can probably come up with many more, but this is offered as a pump primer to get the ideas flowing: click here for more. Building Incentives In Your Compliance & Ethics
Program This is the final version of a white paper offered by the Society of Corporate Compliance & Ethics. This paper is offered publicly as an aid to the profession. Click here to download the paper. An appendix of useful materials and practice tools is available in the members-only section of the Web site. Click here to download the members-only version (you may be asked to log in). We invite comments, questions and additions to this project. Forms
and examples can be included for attribution or with identification
removed, as preferred by the submitter. Contributors will be
acknowledged in the credits. New Survey Shows that Employees Don't Understand Perils of
Computer Use at Work Austin, Texas City wide Ethics Audit, November
2002 Measuring Ethical Climate Risk: The Austin City Auditor's Office found a correlation between a department's ethics and its performance. click here United States vs. Caputo Settlement Agreement in Mellon Bank Case California Law Mandates Sexual Harassment Training U.S. Court of Appeals Rules on SOX Protection for Foreign
Citizens Notes from Compliance & Ethics 202 California Pharmaceutical Legislation OIG HHS Compliance Program Guidance
Click here to download a summary on the Sarbanes-Oxley Act of 2002. Download Optimising the Role of Internal Audit in the Sarbanes-Oxley Era. More Resources Personnel Evaluation Form: Coverage of Ethics and Compliance (Word Doc) Securities and Exchange Commission EDGAR Database CORPORATE RESPONSIBILITY AND CORPORATE COMPLIANCE: Sarbanes-Oxley - Frequently Asked Questions Guidebook
Regarding Section 404 - Internal Controls (PDF 1mb) Download the HCCA Sarbanes Oxley Member Survey (PPT 6mb) PCAOB - Public Company Accounting Oversight Board WSJ Accounting Board Releases Guidance for Sarbanes-Oxley PCAOB Auditing Standard, May 16, 2005 Auditing Internal Control Over Financial Reporting, January 21, 2005 Auditing Internal Control Over Financial Reporting, November 22, 2004 Auditing Internal Control Over Financial Reporting, October 6, 2004 Auditing Internal Control Over Financial Reporting, July 27, 2004 Auditing Internal Control Over Financial Reporting, May 16 2004 Conference on Moral Imagination Compliance Programs as a Framework for Preventing and Detecting Employee Misconduct (PPT Presentation 149K) Vickie L. McCormick Increasing Firm Value Through Detection and Prevention
of White Collar Crime Karen Schnatterly Increasing Firm Value Through Detection and Prevention
of White Collar Crime Karen Schnatterly |
Summary of Sarbanes-Oxley Act of
2002