Corporate Compliance

InfoPAK Download pdf August 2009

Sponsored by: WeComply, Inc.

This InfoPAK guides the in-house practitioner on how to establish a corporate compliance and ethics program. It begins by outlining the primary corporate legal obligations and requirements, focusing on the Federal Sentencing Guidelines and Sarbanes-Oxley, and then delineates the fundamental elements of an effective compliance program, focusing on how to maximize the potential of your compliance program. It discusses effective training and enforcement once the program is implemented, and offers numerous additional resources.

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Author: WeComply, Inc.
Keywords:  Compliance & Ethics; Corporate Governance

Table of Contents

Introduction
Corporations and Legal Liability

• Federal Sentencing Guidelines
• A Variety of Legal Obligations
• Ethics and Financial Accountability: Sarbanes-Oxley
• Benefits of a Commitment to Sound Business Ethics

Maximizing the Potential of Your Compliance Program

• Customizing the Program to Your Company
• Codes of Conduct and Company Policies
• Endorsement and Management of Compliance Programs
• Program Implementation
• Fostering a Culture of Accountability

Training

• Training Courses: Subject Matter
• Teaching Techniques
• Training Course Content

Enforcement of the Code and Policies

• Monitoring
• Responding to Suspicious Conduct
• Investigations and Fact-Gathering
• Resolving Violations
• Disclosures
• Evaluating Compliance Procedures

About WeComply
Additional Resources
Sample Forms
Endnotes