Compliance & Ethics
Forms
Royal Bank of Canada Law Group Sample Retainer Letter for Internal Investigations
Nov 2009 Sample Form & Policy Download pdf
Royal Bank of Canada Law Group Sample Retainer Letter for Internal Investigations
Preservation Notice
Jul 2009 Sample Form & Policy Download pdf
A sample notice of the obligation to preserve documents, electronically stored information and other materials from general counsel. Includes guidelines for preservation of documents and other materials.
Schedule D: Compliance Certificate
Jul 2009 Sample Form & Policy Download pdf
A supplemental form to a distribution agreement, signed by a certifying officer of the distributor, confirming that the organization is in compliance with the FCPA and includes the terms of the agreement ...
InfoPaks
Records Management: Resolving the Eight Issues
Sep 2009 InfoPAK Download pdf
Sponsored by Jordan Lawrence
This InfoPAK describes the eight key records management issues that Jordan Lawrence’s corporate clients have focused on in the past 12 months. The information is based directly on 16,000 interviews ...
Affirmative Action Compliance
Sep 2009 InfoPAK Download pdf
Sponsored by Jackson Lewis LLP
The Office of Federal Contract Compliance Programs (“OFCCP”) is the U.S. Department of Labor agency charged with enforcing the federal affirmative action regulations and eradicating discrimination ...
Corporate Compliance
Aug 2009 InfoPAK Download pdf
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 ...
ACC Docket Articles
Business Ethics: Drawing Moral Chalk Lines
ACC Docket Download pdf
James Nortz uses references to Gilligan's Island to reiterate the importance of always following your moral compass, no matter how much pressure you may be under to do just the opposite.
Ethics & Privilege: Wearing Two Hats - The Ethical Conundrum of the Lawyer Acting in a Business Capacity
ACC Docket Download pdf
You finally made it. No longer the lawyer, now the client. As head of regulatory affairs, you ask lawyers for advice (even though you know how to find the answers and often do). Life is less complicated, ...
Going Global: Low-Cost Training Can Yield Dividends
ACC Docket Download pdf
Read for some tips as to how to design a learning and development program to best enhance your company's performance!
Leading Practices Profiles
Corporate Political Compliance: Best Practices for Legal Departments in Lobbying, Campaigning, and Gifts and Entertainment
Sep 2008 Leading Practices Profiles Download pdf
This Leading Practices Profile examines the important role of in-house counsel with respect to a company or nonprofit organization’s participation in the political process. Representatives from each ...
Collaboration Between Corporate Legal and Human Resources Departments on Non-Litigation Matters
Sep 2007 Leading Practices Profiles Download pdf
The relationship between legal and human resources departments is as crucial to the success of companies as they compete in the marketplace. Strong collaboration between these departments helps companies ...
Managing the Use of Open Source Software
Sep 2007 Leading Practices Profiles Download pdf
This profile examines the benefits and unique issues that arise in using Open Source software for nine companies. Particular attention is given to the role of in-house counsel in managing the ...
Quick References
Relevant Information from ACC Website
Jul 2009 Download pdf
Provides a list of resources for in-house and outside counsel to properly investigate and pursue internal allegations of white collar crimes.
Risk and Control Self-Assessment (RCSA)
Jun 2009 Download pdf
A sample Risk and Control Self-Assessment Statement for internal and external fraud. Includes the risk category, corporate risk statement, definitions, and schemes/examples of each risk.
U.S. Department of Justice Memorandum
May 2009 Download pdf
Provides factors prosecutors apply when determining whether to charge a corporation with a corporate crime as they do with respect to individuals.
Program Materials
Whose Ethics Are They Anyway? Storytellers Required
Oct 2009 Download pdf
You lived through it all — now tell your story. As practicing in-house counsel, we face subtle and not-so subtle ethical issues as part of our everyday work responsibilities. This interactive session ...
Ethical Issues in CrossBorder Discovery
Oct 2009 Download pdf
With the increase of corporate globalization, potentially relevant evidence can reside in many countries. From foreign language and computer language barriers, to privacy laws and safe harbor issues, ...
How to "Globalize" an Effective US Compliance Program
Oct 2009 Download pdf
Since the 2004 revisions to the US Sentencing Guidelines, many companies have invested significant time, energy and funds to enhance their internal ethics and compliance programs and infrastructures ...
Surveys
Law, Compliance, and Business Ethics - 2008 Information Technology
Mar 2008 Download pdf
Sample law department technology survey
Business Crimes and Compliance Criminal Liability of Companies Survey
Feb 2008 Download pdf
A multi-jurisdictional survey representing a country-by-country overview of some key criminal offense laws. Some jurisdictions differentiate between regulatory (summary) offenses and criminal ...
National Government Ethics Survey: An Inside View of Public Sector Ethics
Jan 2008 Download pdf
A survey of government employees assessing government ethics issues. Includes information regarding the current perception of government misconduct, solutions to prevent misconduct, and the ...