Creating an Effective Code of Conduct (and Code Program)
WEBJul 1, 2018 · This tone connects responsible conduct to the company’s and the employee’s success. Such a tone can inspire employees to appreciate the code’s role in the company’s success and ow the employee, by following it, can help make a profound difference. 7. Provides Clear Expectations of Compliance.
Critical Lessons from the Volkswagen Scandal | Corporate …
WEBSep 11, 2020 · There are lessons to be learned from VW’s errors. In 2015, the company confessed to cheating emissions tests on 11 million vehicles across the globe. “Dieselgate,” as the scandal was called, was a punch to VW’s reputation. The financial hit, significant. The company has paid a whopping $9.5 billion in the last four years to American car ...
The Compliance Interview – 6 Helpful Questions
WEBMar 5, 2012 · The questions that are actually asked are determined largely as each interview proceeds. Though those questions will vary, there are some “universal” questions that I have found to be particularly helpful. Following are six of those questions: 1. What are the compliance- and/or ethics-related challenges you face most frequently in your ...
The SEC Defined “Fiduciary Duty,” and a Year Later, Advisers are …
WEBJun 7, 2019 · Tanya Lambrechts is an Associate in the Securities practice group at the law firm of Bressler, Amery & Ross. Her practice focuses on defending financial institutions, SEC-registered and state-registered investment advisors and associated persons and FINRA-registered broker-dealers and financial advisors in a broad range of securities …
WEBEY Comply. Is an end-to-end service for regulatory reporting. Can incorporate and enhance your existing reporting process — supporting new regulations and increasing accuracy of existing reports. Can take your data from many sources in various formats — eliminating the need for complicated and manual reconciliation.
10 Questions You Should Ask About Risk Management
WEBFeb 18, 2022 · Jim DeLoach Jim DeLoach, a founding Protiviti managing director, has over 35 years of experience in advising boards and C-suite executives on a variety of matters, including the evaluation of responses to government mandates, shareholder demands and changing markets in a cost-effective and sustainable manner. He assists companies in …
Key Topics to Cover in Your Compliance Training – and How to …
WEBJul 12, 2021 · It’s the same at every job: An employee’s first day (or even week) is dedicated not to doing the work they were hired to do, but to learning how to do the work. Even if they have experience in the field, the new employee needs to be trained on the specific policies and procedures in place at the company.. While this type of training, …
Compliance Monitoring: A Strategic Approach to Monitoring for …
WEBJul 29, 2010 · A Strategic Approach. by Jason Lunday. July 29, 2010. in Compliance. While a little-understood element of process management, monitoring serves as a powerful tool to ensure that ethics and compliance processes continue to work and improve. Ethics and compliance monitoring is a clear expectation but has not been well defined, leaving …
A New Approach to Managing Your Model Inventory
WEBAug 24, 2017 · Model Risk Management provides structure and a best practice approach to creating and maintaining model inventory, while delivering a simple, yet powerful approach to governance. The solution allows for the capture of on-the-go updates and additions to the model inventory with real-time reporting to regulators, committees and cross-risk functions.
What Is Ethical Culture, and Why Does It Matter?
WEBSep 16, 2019 · A key indication of a strong ethical culture is having a “speak up” culture. This leads to more formal cultural systems and processes, which also impact culture. This is often determined by the hiring process: who you hire, how you train people and what performance management systems are used throughout the employment tenure.