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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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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