Compliance Program Best Practice: Resource Center from SAI Global

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Whitepapers

Dodd-Frank Compliance & Whistleblower Program Management: Processes to Enhance Your Program and Promote Issue Reporting

This best practices whitepaper provides important guidance in building and maintaing an ethical culture and avoiding the financial and reputational damages by having someone complain to the SEC rather to your own organization. Understand best practices in managing your program's inquiry intake-to-resolution process, see how you measure up in achieving a true 'speak-up' culture using an included Dodd-Frank Compliance checklist, and assess your own preparedness for Dodd-Frank challenges.

Compliance Risk Management in the 21st Century: From Finding and Fixing Problems to Compliance Risk Management

In this SAI Global-sponsored whitepaper, Michael Rasmussen, J.D., OCEG Fellow, CCEP, provides compliance and ethics officers with an understanding of the 'why's' behind the evolution in expectations for compliance and ethics officers. Specifically detailed are the compliance business process, a framework for accomplishing strategic objectives, and examples on using automation to improve the ability of the compliance officer to have a seat with strategic business executives.

Compliance & Ethics Program Best Practices

Compliance Program Best Practices Whitepaper

John Dalton, JD, CCEP, Advisory Services at SAI Global, addresses some of the high level and tactical issues that separate sophisticated, mature, evolved compliance and ethics programs from ones that are younger and/or less evolved. He outlines how evolved programs are better able to meet the additional demands of increasing fines, penalties and legislation including Dodd-Frank, US Federal Sentencing Guidelines and UK Bribery Act.

Managing Conflicts of Interest: The Basics

In this SAI Global whitepaper Meghan Daniels, JD, CCEP, Advisory Services, provides compliance officers with a 5-step comprehensive, realistic approach to conflicts of interest management going beyond check-the-box compliance and taking conflicts of interest policy management to the next level.

Compliance Program Management and Oversight

In this SAI Global whitepaper we present the argument that companies should devote time and attention to the formation of how a compliance department will be structured as well as to whom the department and its professionals report. You will gain insight into initial steps companies should take before implementing a compliance program, tips on eliminating conflicts of interest within the compliance department and proper reporting structures.

Compliance and Ethics Risk Assessments

In this SAI Global whitepaper, Jeffrey Kaplan presents a framework of ten features that can be used to develop, design and implement an effective compliance and ethics risk assessment, and how to maximize the overall effectiveness of your compliance and ethics program through effective risk assessments.

Handling Ethical Issues Intake through Resolution

Handling Ethical Issues Intake to Resolution Whitepaper

In our experience with hundreds of Global 1000 clients, SAI Global has developed a keen understanding of issue management best practices that enable global firms to effectively manage ethics situations from intake to resolution. This whitepaper addresses how effective ethics and compliance issue management can empower the company with a high level of visibility to identify patterns and statistical correlations between incidences and other actions taken by the organization.

Effective Enterprise-Wide Compliance and Ethics Training

Enterprise-Wide Compliance and Ethics Training Whitepaper

With more than 25 years as a leading provider of compliance and ethics training worldwide, this SAI Global whitepaper is a must. Gain insight into best practice when planning, managing and rolling out an enterprise-wide ethics awareness programme, including our top 10 tips and some case studies to enable you to give your employees the knowledge they need to live your values and mitigate risk.

Retaliation in the Workplace

Fear of retaliation for speaking up about ethical violations in the workplace not only affects whether workers are willing to report wrongdoing to management, it drives the level of misconduct itself, according to a new study released by the Ethics Resource Center. This whitepaper discusses the startling connection between fear of speaking up and the actual level of misconduct, how employees who feel pressured to compromise company standards, policy or the law are more likely to experience retaliation, and how fear of retaliation destroys workplace morale.

Effective Use of Ethics Hotline Data

Done well, an ethics hotline is about a set of processes which collects knowledge about wrongdoing or Code of Conduct gaps, documents it all in one place, provides the tools to efficiently act on the information, and makes it easy to track and follow up to assure the highest levels of governance. Encouraging open and honest communication is only the first step - to go beyond compliance to compliance management requires more. This whitepaper is perfect for both novices and those from complex organizations with global reach - discusses both the basics of instituting an effective hotline as well as importance of having the hotline part of a broader approach to compliance management.

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Webcasts

From Finding & Fixing Problems to a Strategic View: Compliance Management in the 21st Century.

Read more and watch this webcast featuring Michael Rasmussen, JD, OCEG Fellow, CCEP, and Colin Campbell. This is a supporting webcast to the whitepaper listed above.

Expert Commentaries

Rush Kidder Discusses Ethical Dilemmas

In this this 3-minute video Rush discusses the really tough questions of right vs. right and how individuals and organizations can become ethically fit. Read more and watch Rush Kidder's Expert Commentary.

Lori Tansey Martens Addresses Effective Ethics Training

Lori Tansey Martens discusses how business ethics training can make a difference in creating a non-retaliatory workplace, and gives examples of how managers should engage with employees who raise concerns.Read more and watch Lori Tansey Marten's Expert Commentary.

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Code of Conduct Resource Center

Code of Conduct training, communication and advisory services

Products, services and tools to manage compliance risk

UK Bribery Act and FCPA Resource Center

Products, services and tools to manage Bribery & Corruption Risk

Governance & Risk Management Resource Center

AML, Antitrust, Information Security, & Privacy Resource Center

Whitepapers	Webcasts
Expert Commentaries	Podcasts
Case Studies	Contact Us

code of conduct Training and certification

Reinforce your values

Trust your Code training to the industry leader. Our multiple formats, lengths and styles match your organization's culture and global requirements.

Code of Conduct Assessment & Benchmarking Services

Is an update needed?

We'll work together - and with groups throughout your organization - to gauge whether there have been evolutions in your values, culture, or global scope that affect your Code.

Code of Conduct Design & Development

Rewrite or revitalize

After a Code review, we can work together to develop or revise your Code to ensure its currency and relevance throughout your organization.

is your code up to date and 'alive' or unreadable, outdated and static?

Step up to a 'Living Code' Living Code of Conduct

It's more than Tone at the Top (although that's key); it's creating a dynamic, interactive way for staff to own the Code and take it as their own.

update your risk profile

Compliance and Ethics Risk Assessments

Risk assessments are at the very heart of your ability to develop a program that meets strategic and compliance goals. Ask us how we help dozens of companies each year.