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All Governance Resources / Compliance and Ethics Oversight Questionnaire

Future of the American Board

Blue Ribbon Commission Reports

Questionnaire

Compliance and Ethics Oversight

By NACD Staff

01/17/2016

Compliance Ethics Questionnaire

In brief: Originally appearing in NACD’s Director Essentials: Strengthening Compliance and Ethics Oversight, this Compliance and Ethics Oversight Questionnaire can help to generate and guide discussions between the board, the CEO, chief compliance officer, and general counsel to evaluate the effectiveness of compliance and ethics programs.

This resource can help your board

  • Assess the effectiveness of the compliance and ethics program

  • Evaluate the tone at the top of the organization

  • Anticipate new compliance risks

Most relevant audiences: ethics/compliance committee members, nominating and governance committee members, general counsel, chief compliance officers

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