I2. Communication

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Mitratech TeamConnect® Policy Management

TeamConnect manages policies throughout their lifecycle, from creation to retirement, while enabling collaboration and providing accountability in every phase. Proactively protect your organization by reconciling multiple regulations and requirements. Communicate and enforce procedures throughout your organization and beyond. Gain insights into policy violations and assess the impact of new or changing regulations on your business. TeamConnect’s policy lifecycle management approach delivers business agility, efficiency, and effectiveness in meeting requirements. Collaborate on policy creation and improve compliance through a single authoritative source to consolidate, maintain, and manage your policies and procedures. Publish policies enterprise-wide through online Web access. Defend your organization with a detailed trail of all policies and procedures, receipts, trainings, attestations, exceptions, and violations.

  • IT.22 - Policy Mgmt, Communication & Training
  • I1. Info Management
  • P1. Proactive Actions & Controls
  • R1. Responsive Actions & Controls
  • I2. Communication
  • P2. Codes Of Conduct
  • C3. Culture
  • P3. Policies
  • M4. Assurance
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Voluntary Non-Financial Disclosure and the Cost of Equity Capital (October 2010) resource White Papers OCEG Reviewed

Introduction: In the paper, Voluntary Non-Financial Disclosure and the Cost of Equity Capital: The Initiation of Corporate Social Responsibility Reporting, forthcoming in The Accounting Review, we examine a potential benefit associated with the initiation of voluntary disclosure of CSR activities—a reduction in the cost of equity capital.

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Corporate Governance and Executive Compensation Provisions of the Dodd-Frank Act (July 2010) resource Articles OCEG Reviewed

Harvard Law School Forum on Corporate Governance and Financial Regulation (July 8, 2010)

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Why is GRC important? blog
Submitted by nmarks on May, 17 2010

I have been blogging about what GRC is, advocating the definition developed by the Open Compliance and Ethics Group, OCEG (see this and subsequent posts). But, I haven’t really talked about why the concept of GRC has value.

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SEC, Proposed Rule - Roadmap for the Potential Use of Financial Statements Prepared in Accordance with International Financial Reporting Standards by U.S. Issuers (2008) resource National Regulations OCEG Reviewed
Summary: The Securities and Exchange Commission (“Commission”) is proposing a Roadmap for the potential use of financial statements prepared in accordance with International Financial Reporting Standards (“IFRS”) as issued by the International Accounting Standards Board by U.S. issuers for purposes of their filings with the Commission. This Roadmap sets forth several milestones that, if achieved, could lead to the required use of IFRS by U.S. issuers in 2014 if the Commission believes it to be in the public interest and for the protection of investors.
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SEC, Final Rule - Acceptance From Foreign Private Issuers of Financial Statements Prepared in Accordance With International Financial Reporting Standards Without Reconciliation to U.S. GAAP (2008) resource National Regulations OCEG Reviewed
The Commission is adopting rules to accept from foreign private issuers in their filings with the Commission financial statements prepared in accordance with International Financial Reporting Standards (‘‘IFRS’’) as issued by the International Accounting Standards Board (‘‘IASB’’) without reconciliation to generally accepted accounting principles (‘‘GAAP’’) as used in the United States.
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EU Internal Audit Manager Guideline for Internal Financial Control Assessment Part I - Principles (2007) resource International Materials OCEG Reviewed
The objective of the Guideline is providing principles and techniques applicable for Internal Financial Control Assessment in order to give accurate information to develop, assess and improve internal financial control systems by utilizing the methods of the ISO/IEC 15504 Process Assessment standard. Mastering and practicing the Guideline content, managers and internal auditors will enable to enrol to the job role of EU Internal Financial Control Assessor based on the requirements of the European Internal Financial Control Assessor Skills Card.
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SEC, Final Rule: Electronic Filing and Revision of Form D (2008) resource National Regulations OCEG Reviewed
Form D serves as the official notice of an offering of securities made without registration under the Securities Act in reliance on an exemption provided by Regulation D. Both public and nonpublic companies file information using this form.   The Securities and Exchange Commission is adopting rule amendments mandating the electronic filing of information required by Securities Act of 1933 Form D through the Internet. We also are adopting revisions to Form D and to Regulation D in connection with the electronic filing requirement.
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SEC, Interpretive Release: Commission Guidance on the Use of Company Web Sites (2008) resource Agency Guidances OCEG Reviewed
The SEC published this interpretive release to provide guidance regarding the use of company web sites under the Exchange Act and the antifraud provisions of the federal securities laws, and is soliciting comment on issues relating to company use of technology generally in providing information to investors. Comments should be received on or before November 5, 2008.   Regulations: 17 CFR Parts 241 and 271   73 Federal Register 45862,  August 7, 2008
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SEC Votes to Modernize Disclosure Requirements to Help U.S. Investors in Foreign Companies (2008) resource Articles OCEG Reviewed
Submitted by OCEG Staff on Sep, 09 2008
The Securities and Exchange Commission today voted unanimously to update and modernize the disclosure requirements for foreign companies offering securities in U.S. markets, making it easier for U.S. investors to gain access to timely financial information that can help them make better informed investment decisions.
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I2. Communication
I1. Info Management
I3. Technology