Compliance and Ethics Oversight

Compliance and Ethics Oversight

The growing volume of regulations targeting business misconduct has heightened expectations for corporate boards. This resource center contains guidance and tools to oversee corporate compliance efforts and drive an ethical culture that permeates every level of the corporation. 

Thought Leadership & Research

Board oversight of sexual misconduct The board’s role in risk culture oversight Audit committee oversight of compliance Board oversight of reputation risk Avoiding conflicts of interest The board’s oversight of data privacy risk Providing oversight of the independent auditor Culture as a corporate asset The role of the U.S. Securities and Exchange Commission (SEC) What boards should know about the GDPR

Expert Commentary

Engaging the board on compliance and ethics Culture and ESG are inseparable Board strategies for responding to #MeToo Lessons for boards from 2019 Caremark ruling in Delaware Effective oversight of corporate culture Board lessons from Volkswagen Creating an effective ethics and compliance program Cracking the culture code Fostering a culture of compliance Five questions your board should ask about data privacy Changes in conflict minerals enforcement Implications from the Yates Memo: individual accountability for corporate wrongdoing Trends in strengthening corporate compliance programs

Advisory Services

NACD's in-boardroom education programs help boards deliver value and expand their education

Boardroom Tools & Templates

Board questionnaire for compliance oversight Varian Medical Systems’ Ethics and Compliance Committee Charter American Express’ Audit and Compliance Committee Charter Target’s Risk and Compliance Committee Charter CitiGroup's Ethics and Culture Committee Charter GE’s code of conduct: “The Spirit & The Letter” Johnson & Johnson’s values statement: “Our Credo” Parsons Corporation’s code of conduct for directors Starbucks’ Standards of Business Conduct Sample audit committee whistleblower policy Ethics and compliance glossary Questions directors should ask about compliance and ethics Case studies in ethics and compliance

Regulatory Standards

Federal Sentencing Guidelines on an effective compliance and ethics program Corporate compliance standards for financial institutions Individual accountability for corporate wrongdoing (Yates Memo)

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