Governance

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Anti-Corruption & Fraud, Governance

International Trade Administration (ITA), Good Governance Site
Basel Institute on Governance

Anti-Corruption & Fraud, Ethical Culture, Governance

Organization of American States (OAS)

Anti-Corruption & Fraud, Supply Chain Management (SCM), Investigations, GRC Planning and Organization

Nuts and Bolts: Building Your Third-Party FCPA Due Diligence Program (2010)

Anti-Corruption & Fraud, Crisis Management & Response, Employee Training, Environmental Management and Hazardous Waste, Ethics Training, Information Privacy, Anti-Money Laundering, Ethical Culture, Information Security, Governance, Pre Trial Agreements (Deferred Prosecution Agreements and Non-Prosecution Agreements), Privacy Laws & Regulation, Helplines/Hotlines, Investigations, Audit & Evaluation, GRC Planning and Organization, Risk Assessment, Training & Education, Education & Training, Employment / Labor, Whistleblowing and Retaliation, Workplace Information Privacy, Environmental, Fraud & Corruption, GRC Capability and Processes, Information Management

Regulatory Intelligence by Michael Rasmussen: an Axentis Thought Leadership White Paper

Audit & Evaluation

GAO, Government Auditing Standards (The Yellow Book)
SEC, Spotlight On: Internal Control Reporting Provisions
Time Is Ticking On QAS Compliance
Sustaining SOX Compliance: Moving from chaos to consistency (2005)
Treasury Board of Canada Secretariat: Policy on Internal Audit (2009)
Chartered Accountants of Canada - Canadian Standards in Transition: IFRSs in Canada
ARRA and Single Audits: Addressing the Risks and Challenges (2010)
OMB Circular A-133 Compliance Supplement March 2009
AICPA, Technical Practice Aid 8700.03, “Auditor’s Responsibilities for Subsequent Events Relative to a Conduit Debt Obligor" (September 2010)
Treasury Board of Canada Secretariat Internal Audit Web Site
Data Analytics Survey (2011)
Internal Audit Leads the Way to Performance Improvement (April 2011)
World Bank, Accounting and Auditing Reports on the Observance of Standards and Codes (A&A ROSC)
Government Auditing Standards: 2010 Exposure Draft (GAO)
European Union - Reform of the audit market: Proposal for a regulation on the quality of audits of public-interest entities and proposal for a directive to enhance the single market for statutory audits (November 2011)

Ethical Culture, Audit & Evaluation

Time to Consider Revising Compliance and Ethics Programs in Light of New Federal Sentencing Guidelines (2004)

Audit & Evaluation, GRC Capability and Processes

Nasdaq, Summary of Corporate Governance Proposals
NASDAQ Stock Market, Inc. Corporate Governance Guidelines for the Board of Directors
NASDAQ Legal and Compliance Page
Sarbanes-Oxley Sections 302 & 404: A White Paper Proposing Practical, Cost Effective Compliance Strategies (April 2003)
Measuring the Effectiveness and Performance of Your Program (July 2007)
SEC Final Rule: Management's Report on Internal Control over Financial Reporting Implementing SOX Section 404 (2003)
ISO, 14000 Family of International Standards
ISO 14001:2004 - Environmental management systems -- Requirements with guidance for use (Purchase Site)
International Organization for Standardization (ISO)

Audit & Evaluation, Risk Assessment

Federal Sentencing Guidelines: Enterprise Risk Management (2004)
SEC, Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Auditing Standards Related to the Auditor’s Assessment of and Response to Risk and Related Amendments to PCAOB Standards (2010)
SEC: Public Company Accounting Oversight Board; Order Approving Proposed Rules on Auditing Standards Related to the Auditor’s Assessment of and Response to Risk and Related Amendments to PCAOB Standards (2010)
IFAC, Global Survey on Risk Management and Internal Control (PAIB Committee, 2011)

Audit & Evaluation, GRC Planning and Organization, Risk Assessment, GRC Capability and Processes

COSO, Order page for the full text of the Enterprise Risk Management Integrated Framework (2004)

Audit & Evaluation, GRC Planning and Organization, GRC Capability and Processes

IT Control Objectives for Sarbanes-Oxley 2nd Edition (September 2006)
Federal Sentencing Guideline Manual, 2006 (Complete Text with Links to Appendices)
ISO Management Standards - Specific applications

Governance, Audit & Evaluation

New York Stock Exchange (NYSE), Corporate Governance
NASDAQ, Corporate Governance Resources
NYSE Listed Company Manual Section 303A Corporate Governance Standards Frequently Asked Questions (Rev. January 2010)

Finance & Accounting, Financial Services and Banking, Governance, Audit & Evaluation

Comptrollers Handbook, Office of the Comptroller of the Currency (OCC)

Insurance, Audit & Evaluation

Model Audit Rule Implementation Guide (NAIC/AICPA, 2010)

Insurance, Governance, Audit & Evaluation

NAIC/AICPA Working Group

Finance & Accounting, Audit & Evaluation

AICPA, Recently Issued Technical Questions and Answers
SEC Proposes Ways to Strengthen Audits and Reporting of Broker-Dealers to Protect Customer Assets (June 2011)

Audit & Evaluation, GRC Planning and Organization

ISO, 9000:2005: Quality management systems -- Fundamentals and vocabulary (Catalog Page)

Ethical Culture, Audit & Evaluation, GRC Planning and Organization

NASDAQ OMX Group, Inc. Corporate Governance Guidelines (April 2010)

Finance & Accounting, Financial Services and Banking, Audit & Evaluation, Risk Assessment

NCUA, Corporate Credit Unions (2011, Final Rule)

Governance, Audit & Evaluation, GRC Planning and Organization, Risk Assessment

COSO, Guidance Documents

Compensation, Financial Services and Banking, Governance, Executive Compensation, Financial Assurance

Federal Reserve, OCC, OTS, FDIC Issue Final Guidance on Incentive Compensation (June 21, 2010)

Compensation, Finance & Accounting, Governance

SEC, Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

Crisis Management & Response, Finance & Accounting, Public Sector, Financial Services and Banking, Governance

Government in Financial Services: Options and Dilemmas (Ernst & Young, 2009)

Crisis Management & Response

NFPA 1600, Standard on Disaster Management, Emergency Management, and Business Continuity, 2007 Edition
NFPA, Standard on Disaster/Emergency Management and Business Continuity Programs (2010 Edition)
Corporate Management of Crises, The (2007)

Governance, Critical Conversations Whitepapers, Risk Assessment

OCEG Critical Conversations: CRO at the Center

Domain Supplements, Executive Compensation

U.S. Employment/Labor: Executive Compensation Domain Supplement

E-Discovery

Law Technology News

Education & Training

IT for GRC: Improving Information Quality

Ethical Culture

Deloitte, Code of Ethics and Professional Conduct
Business Ethics: A Manual for Managing a Responsible Business Enterprise in Emerging Market Economies (ITA)
EU, European Commission's Site on Corporate Social Responsibility
Role of Governance in Corporate Social Responsibility: Lessons from Dutch Finance, The (2010)
The Business Case for Corporate Social Responsibility (June 2011)
ISO 26000 – Social responsibility
VIEWPOINT - The role of the board in creating a sustainable strategy (November 2011)

Ethical Culture, Governance, GRC Planning and Organization, GRC Capability and Processes

USSC, Amendments to the Sentencing Guidelines - Reader Friendly Version of Amendments (Aprill 28, 2011)

Ethical Culture, Governance

ORSE, Observatoire sur la Responsibitie Societale des Entreprises (Study Center for Corporate Social Responsibility, English Version)
CSR Europe: Netherlands Community & Business (Samenleving & Bedrijf)
Voluntary Non-Financial Disclosure and the Cost of Equity Capital (October 2010)
New Perspectives on Corporate Social Responsibility in the Caribbean (2009)
CSR in Latin America: The Moral Case, The Business Case (2010)
Corporate Social Responsibility and Latin American Multinationals (2009)
USSC Federal Sentencing Guidelines Manual, 2011 Ed.

Ethical Culture, Governance, GRC Planning and Organization

Compliance v. Culture: Employees Judge Ethical Conduct in the Workplace (2007)

Ethics Training, Ethical Culture

USSC, 2010 Federal Sentencing Guidelines Manual

Ethical Culture, Whistleblowing and Retaliation

Increased motivation for whistle-blowing (2010)

Executive Compensation

Executive Pay in Europe (2008)

Governance, Executive Compensation, Financial Assurance

Executive Compensation Outlook (2010)

Financial Services and Banking, Governance, Executive Compensation

Final Guidance on Sound Incentive Compensation Policies (June 25, 2010)

Finance & Accounting, Governance, Executive Compensation

Corporate Governance and Executive Compensation Provisions of the Dodd-Frank Act (July 2010)
Objectives Of The Dodd-Frank Act (November 2010)

Governance, Executive Compensation

Brief Summary of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010
CEO Compensation and Board Structure (2008, Rev. 2010)
CEO Compensation (April 2010, Rev. Nov. 2010)

Finance & Accounting, Governance, Executive Compensation, GRC Planning and Organization

Dodd-Frank Wall Street Reform and Consumer Protection Act, Public Law 111-203, H.R. 4173 (111th Congress, 2010)

Finance & Accounting, Risk Assessment

Risk Magazine

Finance & Accounting, Financial Assurance

UK, Companies Act of 2006, C.46
UK, Company Law Reform Bill - White Paper 2005 (BERR)
UK, Department for Business Innovation & Skills (BIS) Companies Act of 2006 Page
UK, Companies House, Companies Act Web Site

Finance & Accounting, Governance

Corporate Governance in Chile (Central Bank of Chile, 2003)
Monetary Authority Of Singapore (MAS): Reports and Consultation Papers
Japan, Financial Instruments and Exchange Act, FSA Web Site (English Version)
Implementation of the Wall Street and Consumer Protection Act: Deadlines Created by the Statute for Select Regulatory Milestones

Finance & Accounting, GRC Planning and Organization

Future of Finance: Driving Business Value Through Performance of the Finance Function (Ernst & Young, 2010)

Finance & Accounting

Japan, Financial Services Agency (FSA) (English Version)

Finance & Accounting, Financial Services and Banking

BIS, Group of Governors and Heads of Supervision announces higher global minimum capital standards (September 2010)

Finance & Accounting, Financial Services and Banking, Governance

The Group of Governors and Heads of Supervision reach broad agreement on Basel Committee capital and liquidity reform package (July 2010)
Related communities
Third Party / Outsourcing