P1. Proactive Actions & Controls | by OCEG the Open Compliance and Ethics Group

France

Helpline/Hotline Operation in France: CNIL Requirements and the Single Authorization Process Explained

Multinational, United States

Business Ethics: A Manual for Managing a Responsible Business Enterprise in Emerging Market Economies (ITA)

Multinational

ISO Management Standards - Specific applications

International Organization for Standardization (ISO)

United Kingdom

United Kingdom, The Orange Book Management of Risk - Principles and Concepts (2004)

United States

SEC, Public Company Accounting Oversight Board: Releases Issued by the SEC on PCAOB Rule Proposals

SEC, Spotlight On: Internal Control Reporting Provisions

Sarbanes-Oxley Sections 302 & 404: A White Paper Proposing Practical, Cost Effective Compliance Strategies (April 2003)

Building a Partnership for Effective Compliance: The Third Government-Industry Roundtable

Top Ten Compliance Challenges for the Health Care Industry (2005)

Federal Sentencing Guidelines: Enterprise Risk Management (2004)

OTS, Proposed Rulemaking, Risk-Based Capital Guidelines; Implementation of New Basel Capital Accord (August 4, 2003)

Enterprise Risk Management Specialty Guide May 2006 (Society of Actuaries)

Enterprise risk management: Aligning design principles to corporate goals (An IBM Executive Brief)

Fraud Prevention: An Investment No One Can Afford to Forego (2006)

Key Elements of Antifraud Programs and Controls (2003)

Internal Control Guide for Managers, The State of Massachusetts, Office of the Comptroller

Public Company Accounting Oversight Board: Standards Setting, Text of Auditing Standards and Standards Related Rules

SEC Final Rule: Management's Report on Internal Control over Financial Reporting Implementing SOX Section 404 (2003)

Compliance Journey: Balancing Risk and Controls with Performance Improvement (KPMG)

International Institute for Public Ethics (IIPE): The Open Corporation: Evaluation of Corporate Self-Regulation of Responsibility

Federal Sentencing Guidelines Manual §8B2.1. Effective Compliance and Ethics Program (2010)

USSC, Organizational Guidelines Page

Sarbanes-Oxley and ISO 9000 (2005)

ISO Code of Ethics

ISO Annual Reports

ISO, 14000 Family of International Standards

Corporate Codes of Ethics - BellSouth Office of Ethics and Compliance

Corporate Codes of Ethics - Boeing Ethics Site

Corporate Codes of Ethics - Raytheon Business Ethics and Compliance Home Page

Center for the Study of Ethics in the Professions (IIT) - Codes of Ethics Online

ISO, Quality management principles

Center for the Study of Ethics in the Professions (IIT) - Resources for Writing a Code of Ethics

Selection and Use of the ISO 9000:2000 family of standards (ISO 9001:2000.)

Advisories: ANSI-ASQ National Accreditation Board (ANAB)

Center for Ethics and Social Justice at Loyola University, Chicago: Corporate Ethics

ANSI-ASQ National Accreditation Board (ANAB)

Legal Compliance and Ethics Center, LRN

ISO 9001 Auditing Practices Group

ISO 9001 Accreditation Auditing Practices Group

New Federal Sentencing Guidelines for Organizations: Great for Prosecutors, Tough on Organizations, Deadly for the Privilege; The (March 2005)

SEC, Briefing Paper: Roundtable on Implementation of Internal Control Reporting Provisions (2005)

Sprint Nextel Corporation: Audit Committee Charter (2005)

Staying Out of Trouble: The Role of a Global Anti-Corruption Program

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

Brief Summary of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010

Disarming the Value Killers: A Risk Management Study (2005)