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The Complete Compliance and Ethics Manual 2024

Your go-to compliance resource 

This comprehensive resource, written by more than 100 compliance and ethics experts and with 87 comprehensive articles spanning two volumes, provides practical guidance that enables practitioners to establish, maintain, and improve a compliance and ethics program. 

The Complete Compliance and Ethics Manual (CCEM) features detailed analyses of critical aspects of compliance and ethics programs, practical tools, checklists, policies, and procedures to help compliance professionals improve program effectiveness and address a wide range of risk areas.

Tools you can use:
  • Sample audit review form 
  • Sample hotline information sheet
  • Compliance program implementation action plan 
  • Sample policy template
  • Sample self-assessment questionnaire for environmental compliance programs
  • Checklist for managing third-party risk
  • And much more!

CCEM is organized into five chapters that help you quickly find the information you need. The 2024 manual includes 6 new articles as well as updated content for 42 additional articles. It also includes 51 appendices that provide deeper insight as well as actionable tools including sample forms, policies, job descriptions, and much more. 
   

The two-volume softcover print version comes with a detailed index.

Chapter 1: Overview of Compliance and Ethics Practice

  • The Role of Ethics, Compliance, and Culture in Reducing Risk of Misconduct
  • The Compliance and Ethics Profession: SCCE’s Code of Professional Ethics for Compliance and Ethics Professionals
  • Code of Professional Ethics for Compliance and Ethics Professionals
  • Ethics at Every Level: Safeguarding Your Organization from Misconduct

Chapter 2: Foundational Materials and Program Infrastructure

  • Essential Elements of an Effective Ethics and Compliance Program
  • Appendix 2-A: Sample Letter to Vendors on Gift-Giving Limitations
  • Appendix 2-B: Model Anti-Retaliation Policy
  • APPENDIX 2-C: Sample Compliance Officer Job Description
  • Appendix 2-D: Sample Compliance Audit Report Form
  • Appendix 2-E: Sample Compliance Committee Member Confidentiality Commitment
  • Appendix 2-F: Compliance Issue Report Intake Form
  • Appendix 2-G: Glossary of Compliance-Related Terms
  • The History of the Organizational Sentencing Guidelines and the Emergence of Effective Compliance and Ethics Programs
  • Beyond the Sentencing Guidelines: Governing Directives, Guidelines, and Standards from the United States
  • Components of an Effective Compliance and Ethics Program

Chapter 3: Implementing a Program

  • Getting Started
    • Initial Steps for Building a Compliance and Ethics Program
    • Appendix 3-A: Compliance Program Implementation Checklist
    • APPENDIX 3-B: Compliance Job Description
    • Appendix 3-C: Compliance Program Risk Catalog and Assessment
    • APPENDIX 3-D: Sample Compliance Committee Charters
    • APPENDIX 3-E: Sample Policies and Procedures
    • Making the Business Case: Selling Compliance and Ethics to Management
    • Appendix 3-F: Calculating the Value of Your Corporate Compliance Program
  • Compliance Standards and Procedures
    • Creating an Effective Code of Conduct and Code Program
    • Communicating Values Across Cultures: Globalizing Your Code of Ethics
    • Appendix 3-G: Considerations for Global Code Implementation and Rollout
    • Developing and Implementing Policies for an Effective Program
    • Appendix 3-H: Model Policy Management Policy
    • Appendix 3-I: Sample Policy Template
    • Appendix 3-J: Sample Compliance Policy Management Checklist
    • Appendix 3-K: Sample Compliance Communications Plan
  • Program Oversight and Management
    • Structuring the CECO and Compliance Function for Success
    • Board Engagement, Training, and Reporting
    • Yes, a Board can Positively Affect Culture: 10 Practical Actions
  • Delegation of Authority
    • Due Diligence in Hiring and Promotions: Implementation and Management
  • Auditing and Monitoring
    • Auditing and Monitoring
    • Appendix 3-M: Sample Compliance Auditing and Monitoring Plan
  • Education and Awareness
    • Essential Steps for Ethics and Compliance Program Branding and Marketing
    • Appendix 3-L: Branding and Marketing Resources
    • Training by Design
    • Creating Effective Compliance Training
    • Fraud Awareness Training: Enhancing a Low Cost, High Impact Control in Challenging Economic Times
    • 3M’s Transparency Journey: Using Ethics and Compliance Cases as Teaching Tools
    • Onboarding as a Key to an Effective Compliance Program
  • Internal Reporting Systems
    • Why Employees Don't Speak Up and How to Fix It
    • Hotline and Whistleblowing Reporting Mechanisms
    • Whistleblowing Legislation in the EU and Brazil
    • Appendix 3-N: Example Whistleblower System Policy Framework
    • Appendix 3-O: Checklist of Processes and Controls to Consider When Establishing a Whistleblower System
  • Investigation and Response
    • Creating an Organizational Investigations Program and Conducting Effective Workplace Investigations
    • Appendix 3-P: Checklist of Core Internal Investigator Competencies
    • Appendix 3-Q: Model Internal Investigations Policy
    • Appendix 3-R: Sample Upjohn Warning
    • Appendix 3-S: Sample Investigation Report Form
    • Appendix 3-T: Sample Investigator Script
    • Procedures and Guidance for Independent Investigations Overseen by the Audit Committee
    • Root Cause Analysis: A Critical Ethics and Compliance Practice for Getting to the Why
    • What to Do When the Government Comes Knocking
  • Discipline and Incentives
    • Employee Discipline and Compliance
    • Using Incentives in Your Compliance and Ethics Program
    • Appendix 3-U: Sample Manager Evaluation Checklist
    • Appendix 3-V: Sample Employee Integrity Recognition Letter
    • Appendix 3-W: Ideas for Using Incentives in Compliance and Ethics Programs
  • Risk Assessment and Management
    • Compliance and Ethics Risk Assessments
    • How to Protect Compliance Risk Assessments from Unwanted Disclosure
    • Third-Party Risk Management: The Who, What, Why, When, and How

Chapter 4: Measuring Effectiveness

  • Compliance and Ethics Program Self-Assessment: Key Considerations
  • Appendix 4-A: Compliance and Ethics Program Self-Assessment Questions
  • Methods and Guidelines for Demonstrating Compliance Program Effectiveness

Chapter 5: Specific Compliance and Ethics Risks

  • Anti-Corruption and Anti-Bribery
    • Anti-bribery and Corruption Compliance Programs
    • APPENDIX 5-A: Additional Resources on Anti-Corruption and Anti-Bribery
    • Appendix 5-B: Considerations in Compliance Education Program Development
    • Appendix 5-C: Best Practices Checklist for Managing Third-Party Risk
    • Appendix 5-D: Common Red Flags Indicating Heightened Potential for Corruption
  • The UK Bribery Act 2010
    • APPENDIX 5-E: Bribery Act Resources
    • A Global Standard to Address Bribery Risk: ISO 37001
    • Anti-Corruption Laws/Regulations in Latin America
    • APPENDIX 5-F: Latin America Anti-Corruption Resources
  • Anti-Money Laundering
    • Anti-Money Laundering Compliance Programs for Financial Institutions and Other Businesses
    • Customer Due Diligence and Beneficial Ownership
  • Antitrust/Competition Law
    • Federal Antitrust Law Risks
    • APPENDIX 5-G: Federal Antitrust Law Key Resources
    • Antitrust Compliance in Canada
    • Antitrust Compliance Programs as Evaluated by the Antitrust Division of the U.S. Department of Justice
  • Conflicts of Interest
    • Conflicts of Interest
    • Appendix 5-H: Model Conflicts of Interest Policy
    • Conflicts of Interest: Evaluating Outside Board of Director and Advisory Service Roles
    • Gifts and Entertainment Compliance
  • Entity-Specific Risk Management
    • Government Agencies: Effective Compliance and Ethics Programs are Necessary for Public Trust
  • Environmental Liabilities
    • Environmental Law and Compliance
    • Appendix 5-I: Environmental Risk Factors and Mitigating Measures
    • Appendix 5-J: Environmental Compliance Program Self-Assessment Questionnaire
    • Compliance Professionals as the New Face of ESG Leadership
    • ESG, Cyber, and Privacy: Bridging the Divide
  • Government Contracting and RelationshipsG
    • Government Contractor Integrity and Responsibility: Risks and Opportunities in the Federal Marketplace
    • Compliance Overview: Corporate Involvement in the Federal Public Policy Arena
  • Government Enforcement Actions and Disclosures
    • Voluntary Disclosure, Mandatory Disclosure, and Government Engagement
    • Corporate Probation: The Use of Independent Monitors to Improve Compliance and Prevent Fraud
    • False Claims Act Risks
    • APPENDIX 5-K: False Claims Act References to Key Resources
  • Identity Verification
    • Compliance and Fake IDs: Complications of Checking ID and Confirming Identity
  • Labor/Employment
    • Wage and Hour Compliance Under Federal and State Laws
    • Harassment in the Workplace: Leadership Impact and the Role of the Compliance and Ethics Practitioner
    • Building Cultures of Integrity in Remote and Hybrid Environments
    • The Changing Landscape of Cannabis Legalization: Compliance and Ethics Program Challenges
  • Mergers and Acquisitions
    • Effective Ethics and Compliance Due Diligence during Mergers and Acquisitions
  • Privacy and Data Protection
    • A Data Privacy Compliance Program Primer: A Snapshot of Data Privacy Regulations, Risks, and Compliance and Risk Management Effectiveness Strategies
    • Does GDPR Apply to My Organization?
    • The Role of the Data Protection Officer in Europe
    • Privacy in the European Union: A Data Safekeeping Revolution
    • A New Decade in Data Privacy: Complying with the CCPA
    • Bring Your Own Device Policies and Practices
    • Cybervigilance in Establishing Security Cultures
    • Cyber Insurance Guidelines for Corporate Compliance and Ethics Executives and Boards of Directors
    • Appendix 5-L: Self-Assessment to Determine Cyber Insurance Risk
    • Appendix 5-M: Recommendations to Prepare for and Reduce the Cost of Cyber Insurance
    • Appendix 5-N: Common Cyber Insurance Mistakes to Avoid
    • Data Mapping: A Necessary Risk Management Tool for Data Compliance
    • Security Incident and Data Breach Response
  • Records Management and Retention
    • Creating an Effective Data and Information Governance Program
    • Appendix 5-O: Model Record Retention Policy
    • Appendix 5-P: Sample Record Retention Schedule Chart
    • Appendix 5-Q: Sample Litigation Hold Notice
    • Appendix 5-R: Sample Record Retention Decision Tree Tool
  • Social Media
    • Social Media Compliance
    • Appendix 5-S: Model Social Media Policy
  • Supply Chain
    • Human Trafficking Prevention in the Supply Chain
    • Complying with the SEC's Conflict Minerals Rule: An Overview for Compliance Professionals
  • Technology and Compliance
    • Artificial Intelligence and Corporate Compliance
    • The Relationship between Technology and Compliance
    • Data Analytics for Compliance
    • Ethics, Compliance, and Artificial Intelligence
    • Harnessing Technology for Auditing and Monitoring in the Digital Era
  • Trade Compliance
    • Corporate Compliance in a Geopolitical World: OFAC’s Framework for Compliance Commitments
    • International Trade and Business: US Export Controls
    • APPENDIX 5-T: International Trade References and Links to Key Resources
    • U.S. Antiboycott Laws: Understanding the Impact and Ensuring Compliance
New content in the 2024 manual includes: Updated articles include: 
  • Ethics at Every Level: Safeguarding Your Organization from Misconduct
  • Anti-bribery and Corruption Compliance Programs
  • Antitrust Compliance in Canada
  • Data Analytics for Compliance
  • Ethics, Compliance, and Artificial Intelligence
  • Harnessing Technology for Auditing and Monitoring in the Digital Era
  • Initial Steps for Building a Compliance and Ethics Program
  • Whistleblowing Legislation in the EU and Brazil
  • Environmental Law and Compliance
  • ESG, Cyber, and Privacy: Bridging the Divide
  • Building Cultures of Integrity in Remote and Hybrid Environments
  • Artificial Intelligence and Corporate Compliance
 
Now you can get even more from this valuable resource with an online subscription or print bundle purchase
  • Content updates: As a subscriber you will always have access to annual content additions & updates
  • Convenience: Easy access through COSMOS®, SCCE® & HCCA®’s online content platform, when working remotely or traveling 
  • Search: Quickly find a topic with the online search capability
  • Print: Print a single page or form to reference from anywhere
  • Free subscription to Corporate Compliance Forms and Tools (a $319 value!) - Learn more
  • Free online access to United States Code through clickable citations - Learn more
  • Free online access to Code of Federal Regulations through clickable citations - Learn more 
   To learn more about this book, check out the following podcasts on the Compliance  Perspectives Podcast with Adam Turteltaub
Listen                                

 New podcasts coming soon!

Earn non-live CEUs

You can earn 10 non-live CCB CEUs simply by documenting your understanding of the principles in the manual. Documentation is done by achieving a score of 75% or better on The Complete Compliance and Ethics Manual quiz, available to download here. Simply complete the quiz and return by email, fax, or mail per the instructions on the introductory page. CCB certification staff will review and process your submission within four weeks of receipt. 

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