Corporate Compliance & Ethics Policies, Procedures & Training

Organizations operate in a complex regulatory and highly competitive business world; this creates a challenging environment to improve the bottom line and to operate with a high level of integrity. Trends suggest that there is an increase in regulatory and internal investigations. The outcome of some of these investigations could result in serious reputational damage, in steep financial penalties and potentially personal liability for the individuals involved in the misconduct.

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Public Sector Education Webinar: Mastering Federal Grants and Understanding Fraud, Waste and Abuse

Navigating the federal grants process can be complex. Our Center of Excellence – Not-for-Profit Consulting team dives into the ever-changing and multifaceted world of federal grants from how to determine which grants best fit your mission to ensuring compliance with federal requirements and reporting.

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Creating and Following a System for Strategic Management of Intellectual Property Assets: An Executive’s Toolkit

Creating a framework for regular review of intellectual property assets can help companies capitalize on their investment and inform strategic & tactical decisions.

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Leveraging Data Analytics to Uncover FCPA Violations and Strengthen Compliance

Discover the pivotal role of data analytics in FCPA compliance to ensure integrity and ethical business conduct around the globe.

Article

FinCEN Proposes Rules to Make Investment Advisers Subject to Anti-Money Laundering Requirements

If FinCEN’s proposed rule is adopted, SEC Registered Investment Advisers and Exempt Reporting Advisers would be subject to FinCEN’s AML and CFT requirements.

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Public Sector Webinar: You Received a Fraud Allegation, What Do You Do Next?

During this webinar, we discuss considerations for your organization that will help you be prepared in the event you are faced with responding to a fraud allegation.

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Podcast: Asset Tracing in Marital and Divorce Disputes

In this episode of Weaver: Beyond the Numbers, our Forensics and Litigation Services professionals discuss asset tracing within matrimonial disputes. Tune in.

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Compliance Procedures Based On Recognized Frameworks

An organization’s corporate compliance and procedures can be based on recognized frameworks such as the Committee of Sponsoring Organizations of the Treadway Commission (COSO) which addresses some of the key elements of a well-designed Corporate Compliance & Ethics program. These include commitment to integrity and values, commitment to attracting, developing and retaining competent staff, enforcing accountability and identifying, analyzing and assessing fraud and operational risks.

Compliance and Ethics Programs

The COSO or other similarly recognized domestic or international frameworks are not a substitute for a robust Corporate & Compliance Ethics program designed to address the risk areas that matter the most to a particular organization. We assist organizations with developing, customizing and maintaining effective compliance and ethics programs that align with their values, promote ethical behavior and ensure that valuable and sometimes scarce corporate compliance resources are allocated to their specific areas of risk.

Our Services

Policy and Procedure Development: We will work with you to develop customized policies and procedures to comply with regulatory requirements that align with your organization’s goals.

Compliance and Ethics Training: We provide personalized training to your employees, board members and senior executives to ensure they understand their compliance and ethics obligations.

Compliance and Ethics Investigations: We conduct independent investigations of potential compliance and ethics violations to identify the root causes and provide recommendations for remediation.

Gap Analysis of Compliance and Ethics Program: We analyze compliance and ethics programs to identify potential gaps with current trends or regulations. We then provide recommendations to ensure the program remains effective and is in compliance with regulatory requirements.

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