Top Color:
Main Color:
Bottom Color:
Header Image:
  • background1
  • background2
  • background3
  • background4
  • background5
  • background6
  • background7
  • background8
  • background9
Layout Style:
  • Wide
  • Boxed
HCCAnet Facebook Twitter LinkedIn Youtube Pinterest
You are here : Resources  >  SCCE Resources  >  Pamphlets
Complimentary Pamphlets

Code of Professional Ethics for Compliance and Ethics Professionals

Code of Professional Ethics for Compliance and Ethics ProfessionalsRead the Code of Professional Ethics in the languages below. Click on the language to open

On August 29, 2007, The Society of Corporate Compliance and Ethics (SCCE) adopted a Code of Professional Ethics for Compliance and Ethics Professionals. “With this Code of Professional Ethics, the SCCE today has taken an essential and vital step in establishing the compliance and ethics profession,” said Roy Snell, Society of Corporate Compliance and Ethics Chief Executive Officer.

“The Code of Professional Ethics will become the bedrock upon which the compliance and ethics profession stands,” said Joseph E. Murphy, CCEP, of Counsel, CSLG and Code of Ethics Development Committee Co-Chair

The Code’s purpose is to provide guidance and rules to all Compliance and Ethics Professionals (CEP) in the performance of their professional responsibilities.

In creating the Code of Professional Ethics, the SCCE establishes both overarching principles to guide compliance officials and rules of conduct, which represent specific standards that prescribe the minimum level of professional conduct expected of CEPs.

The Code’s preamble states: “Compliance and Ethics Professionals understand that the services we provide require the highest standards of professionalism, integrity and competence. The Code of Ethics expresses the profession’s recognition of its responsibilities to the general public, to employers and clients, and to the profession.”

“This Code is the expressed commitment to professionalism in the worldwide community of compliance and ethics professionals,” added Rebecca Walker, Partner, Kaplan & Walker LLP, who co-chaired the SCCE Code of Ethics Development Committee.

“We are very pleased to introduce this voluntary code, which offers important guidance to compliance and ethics professionals,” said Snell.

PDFs of the SCCE Code of Professional Ethics are available free of charge in several languages.

ArabicChinese | English | French | GermanGreek | Italian | Japanese | Korean | Portuguese | Russian | Serbian Cyrillic | Serbian Latin | Spanish


A Compliance & Ethics Program on a Dollar a Day: How Small Companies Can Have Effective Programs

A Compliance & Ethics Program on a Dollar a Day: How Small Companies Can Have Effective Programs

By Joseph E. Murphy, JD, CCEP
Director of Public Policy
Society of Corporate Compliance and Ethics 

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.

Arabic | Chinese | English French | GermanRussian | Spanish 

 

 


 

Using Incentives in Your Compliance and Ethics Program

Using Incentives in Your Compliance and Ethics Program

By Joseph E. Murphy, JD, CCEP
Director of Public Policy
Society of Corporate Compliance and Ethics 

Incentives help drive behavior!

While incentives are common in businesses, homes, schools and other contexts, the use of incentives in the context of compliance and ethics programs has been slow to catch on. This has been true because many compliance and ethics officers don’t understand that “appropriate incentives” are a required element of an effective compliance and ethics program as articulated under the Federal Sentencing Guidelines and because too many in management and on boards believe that most employees will naturally “do the right thing.” Unfortunately, the evidence suggests just the opposite. Without adequate controls and incentives, most of us will (at least occasionally) do the wrong thing.

With the growing distrust of business and the increasing levels of misconduct, it will become critically important for businesses and other organizations to do a better job of using incentives as a tool to drive the kind of behavior they expect of employees. By developing appropriate compliance and ethics incentives, management and boards can demonstrate their commitment to compliant and ethical conduct in the organization; they can significantly reduce the risk of illegal or unethical conduct; and they can fulfill their fiduciary obligations to ensure that the organization has an effective compliance and ethics program.

Mr. Murphy’s paper on aligning incentives provides a road map for organizations which understand the incentive imperative but have been struggling with execution. It is a must read for every compliance and ethics officer, as well as for board members and management who are concerned about the impact of non-compliance. I have heard many board members and managers tell me that they are serious about compliance and ethics. The adoption of some of the incentives described in this paper will give those board members and leaders a chance to prove that commitment!

Using Incentives in Your Compliance and Ethics Program (PDF)


Third-Party Essentials: A Reputation/Liability Checkup When Using Third Parties Globally

Third-Party Essentials: A Reputation/Liability Checkup When Using Third Parties Globally

By Marjorie W. Doyle, JD, CCEP-F
with input from Diana Lutz

Not too long ago, it was the usual practice of organizations to outsource work without a second thought. It is a strategy to solve head count issues, circumvent internal processes, or staff up quickly. It often makes good business sense to outsource when the make/buy analysis says “cheaper to buy.”

What has changed drastically, though, is the analysis of what is cheaper. Gone are the days when organizations could wash their hands of liability or damage to reputation from outsourced work due to ethics and compliance failures. Bottom line: Your third party’s actions on your behalf are, to a significant extent, your responsibility, just like those of your permanent employees. This is true in many risk areas, but has become equally important in relation to anti-corruption laws in the U.S., the U.K., and elsewhere in the OECD (Organisation for Economic Cooperation and Development), which apply to situations worldwide if the organization does business in any of these countries.

There is no better time than now to focus on your third parties—who they are and whether you have effective processes to control their activities on your behalf.

English | Chinese | Portuguese | Russian | Spanish

 

 


 

Compliance & Ethics Program News from Paris: Have the "Global Sentencing Guidelines" Arrived?


Compliance & Ethics Program News from Paris: Have the 'Global Sentencing Guidelines' Arrived?By Joseph E. Murphy, JD, CCEP
Director of Public Policy
Society of Corporate Compliance and Ethics 

As the global economy evolves, there will be a simultaneous evolution of the international regulatory environment and the implementation of compliance programs. There will be a desire for regulatory consistency. There will be a desire for fairness. Of course, this will be difficult to accomplish given the cultural and regulatory diversity among countries. It will be particularly difficult without the effort of groups like the OECD and the effective use of compliance programs. The Society of Corporate Compliance and Ethics is poised to help with the effective implementation of compliance and ethics programs. OECD and other organizations are making an effort to help provide a framework to address the need for fairness and consistency. This is a very exciting time in our history. We are witnessing the evolution of significant and complex events. We will all look back years from now and acknowledge the tireless work of those who dared to take on this enormous task, such as the OECD and the SCCE.

 

 


International Commitment to Compliance Programs


International Commitment to Compliance Programs pamphlet (PDF)

In your hands is the first draft of what we hope to be a lasting and helpful document for compliance professionals worldwide. SCCE has gathered documents from governments far and wide, all requiring or strongly suggesting the need for corporate compliance programs for companies operating within their borders. 

International Commitment to Compliance Programs pamphlet (PDF)