Compliance and Ethics Oversight

Compliance and Ethics Oversight

The growing volume of regulations targeting business misconduct has heightened expectations for corporate boards. This resource center contains guidance and tools to oversee corporate compliance efforts and drive an ethical culture that permeates every level of the corporation. 

Thought Leadership & Research

Board oversight of sexual misconduct The board’s role in risk culture oversight Audit committee oversight of compliance Board oversight of reputation risk Avoiding conflicts of interest The board’s oversight of data privacy risk Providing oversight of the independent auditor Culture as a corporate asset The role of the U.S. Securities and Exchange Commission (SEC) What boards should know about the GDPR

Expert Commentary

Lessons for boards from 2019 Caremark ruling in Delaware Comply and control Advice from former US Deputy Attorney General Sally Yates Engaging the board on compliance and ethics Culture and ESG are inseparable Board strategies for responding to #MeToo Effective oversight of corporate culture Cracking the culture code Trends in strengthening corporate compliance programs

Advisory Services

NACD's in-boardroom education programs help boards deliver value and expand their education

Boardroom Tools & Templates

Board questionnaire for compliance oversight Varian Medical Systems’ Ethics and Compliance Committee Charter American Express’ Audit and Compliance Committee Charter Target’s Risk and Compliance Committee Charter CitiGroup's Ethics and Culture Committee Charter GE’s code of conduct: “The Spirit & The Letter” Johnson & Johnson’s values statement: “Our Credo” Parsons Corporation’s code of conduct for directors Starbucks’ Standards of Business Conduct Sample audit committee whistleblower policy Questions directors should ask about compliance and ethics Case studies in ethics and compliance

Regulatory Standards

Federal Sentencing Guidelines on an effective compliance and ethics program Corporate compliance standards for financial institutions Updated guidance document on U.S. Department of Justice’s compliance programs evaluation guidelines (April 2019) Library of final rules released by the U.S. Securities and Exchange Commission Federal Reserve Board library of supervision and regulation letters Federal Reserve Board documentation of recent regulatory amendments Recently completed standard-setting activities from the Public Company Accounting Oversight Board Quick facts on securities and investment fraud offenses

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