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. 

The Board’s Role in Ethics and Compliance Oversight

Director Essentials on Compliance and Ethics The board’s role in risk culture oversight Board oversight of reputation risk Engaging the board on compliance and ethics Effective oversight of corporate culture Cracking the culture code Board questionnaire for compliance oversight Questions directors should ask about compliance and ethics Case studies in ethics and compliance NACD's in-boardroom education programs help boards deliver value and expand their education Master Class Director Professionalism®

The Committee’s Role in Ethics and Compliance Oversight

Audit committee oversight of compliance Providing oversight of the independent auditor Varian Medical Systems’ Ethics and Compliance Committee Charter American Express’ Audit and Compliance Committee Charter CitiGroup's Ethics and Culture Committee Charter

Latest Trends in Ethics and Compliance

Board oversight of sexual misconduct Board strategies for responding to #MeToo The board’s oversight of data privacy risk Culture as a corporate asset Culture and ESG are inseparable Trends in strengthening corporate compliance programs

Recent Litigation and Regulatory Standards

The California Consumer Privacy Act: What Directors Need to Know Lessons for Boards from 2019 Caremark Ruling in Delaware Advice From Former US Deputy Attorney General Sally Yates Comply and Control Updated Guidance Document on U.S. Department of Justice’s Compliance Programs Evaluation Guidelines Library of Final Rules Released by the U.S. Securities and Exchange Commission Federal Reserve Board Library of Supervision and Regulation Letters Federal Reserve Board Documentation of Recent Regulatory Amendments Recently Completed Standard-Setting Activities from the Public Company Accounting Oversight Board What Boards Should Know About the GDPR Quick Facts on Securities and Investment Fraud Offenses Federal Sentencing Guidelines on an Effective Compliance and Ethics Program The Role of the U.S. Securities and Exchange Commission Corporate Compliance Standards for Financial Institutions

Update and Maintain Your Company Policies and Values

Avoiding conflicts of interest 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


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