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Compliance Program Best Practice: Resource Center from SAI Global

Illustrated Guides | Whitepapers | Articles | Webcasts | Expert Commentaries | Learn More

Illustrated Guides: Policy Management

In this series about how to effectively manage compliance policies and procedures, SAI Global and other OCEG Leadership Council members map out the critical steps in building business process - the 'how' of effective compliance programs - using easy-to-understand diagrams, guidance, and field insights. 

 Part 1: Effective Policy Management

Read more and download Illustrated Guide #1 on Effective Policy Management now ...


 Part 2: Policy Communication and Training

Read more and download Illustrated Guide #2 on Effective Policy Communication and Training now ...


 Part 3: Implement and Enforce Policies

Read more and download Illustrated Guide #3 on Effective Implementation and Enforcement of Compliance Policies now ...


Illustrated Guides | Whitepapers | Articles | Webcasts | Expert Commentaries | Learn More

Whitepapers

Utilizing Surveys in Compliance Programs

Surveys in Compliance Programs

Learn how the results of surveys can be connected to other elements of a compliance program to enhance overall program effectiveness.  See how companies overcome challenges in survey design so that meaningful - and actionable - information results.

Read more and download this whitepaper now ...

Ten Tips for a Superior Third Party Due Diligence Program

Third Party Due Diligence Tips

Learn more about the 10 practical tips that global organizations of any size should consider as they plan their anti-bribery activities and due diligence efforts including following the 80/20 rule, developing and leveraging internal expertise, setting adequate, realistic expectations, implementing regionally but with central direction and oversight, and leveraging technology to create a program that can scale.

Read more and download this program guide now ...

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

Dodd-Frank Compliance

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.

Read more and download this program guide now ...

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

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.

Read more and download this whitepaper now ...

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.

Read more and download this whitepaper now ...

Managing Conflicts of Interest: The Basics

Conflicts of Interest Whitepapers

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.

Read more and download this whitepaper now ...

Compliance Program Management and Oversight

Compliance Program Management and Oversight whitepaper

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.

Read more and download this whitepaper now ...

Compliance and Ethics Risk Assessments

Effective Compliance and Ethics Risk Assessments Whitepaper

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.

Read more and download this whitepaper now ...

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.

Read more and download this whitepaper now ...

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.

Read more and download this whitepaper now ...

Retaliation in the Workplace

Retaliation in the Workplace Whitepaper

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.

Read more and download this whitepaper now ...

Effective Use of Ethics Hotline Data

Effective Use of Ethics Hotline Data Whitepaper

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.

Read more and download this whitepaper now ...

Illustrated Guides | Whitepapers | Webcasts | Expert Commentaries | Learn More

Articles

Third-Party Risk Management e-book

Third Party Risk Management

This Compliance Week e-book, a special March 2012 publication sponsored by SAI Global, explores how companies can manage their third-party risks.  Read practical tips from SAI Global subject matter experts on subjects like third party risk checklists, the role of technology and the importance of third party training. 

Read more and download this e-book now ...

Illustrated Guides | Whitepapers | Articles | Expert Commentaries | Learn More

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.

Illustrated Guides | Whitepapers | Articles | Webcasts | Learn More

Expert Commentaries

Rush Kidder Discusses Ethical Dilemmas

Rush Kidder Commentary on 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 Commentary on Business 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.

Illustrated Guides | Whitepapers | Articles | Webcasts |Expert Commentaries | Learn More

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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

   

grc community

Learn & NetworkSAI Global GRC Community

News, insights, opinions, events, and resources of value to compliance, legal, risk, ethics and audit professionals.