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P1. Proactive Actions & Controls
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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)
Related terms
P7. Risk Financing
P5. Incentives
P4. Education
P2. Codes Of Conduct
P1. Proactive Actions & Controls
P3. Policies
P6. Stakeholder Relations