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

OCEG Contributed

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

Managing the Business Risk of Fraud: A Practical Guide (2008)

BusinessStandards.com

From internal control to enterprise risk management (2005)

COSO, Internal Control - Integrated Framework, Guidance on Monitoring Internal Control Systems: Volume II - Guidance (Exposure Draft, 2008)

COSO, Internal Control - Integrated Framework Guidance on Monitoring, Internal Control Systems, Volume III - Application Techniques (Exposure Draft, June 2008)

IT Governance Standard, ISO/IEC 38500:2008 Order Page (2008)

ISO/IEC 27006:2007 Order Page: Information technology -- Security techniques -- Requirements for bodies providing audit and certification of information security management systems (2007)

AS8015-2005 - Australian Standard for Corporate Governance of Information and Communication Technology (ICT)

SEC, Enforcement Manual (2008)

Business Continuity Maturity Model® (BCMM®)

SEC Publishes Its Guidance for Management on Evaluating Internal Controls (FSA, IIA, 2007)

Brabeion Software Joins the Open Compliance and Ethics Group's Technology Council

OCEG for Technology

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

Member Contributed

Operational Controls

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

International Organization for Standardization (ISO)

ISO, 14000 Family of International Standards

ISO Management Standards - Specific applications

ISO, Quality management principles

ISO 9001 Auditing Practices Group

ISO 9001 Accreditation Auditing Practices Group

ISO Code of Ethics

ISO Annual Reports

ISO Strategic Plan 2005 2010

New York Stock Exchange (NYSE) Listed Company Manual

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

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

Corporate Codes of Ethics PG&E Ethics Compliance

Basic Concept of Corporate Governance Panasonic (Matsushita)

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

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

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

Legal Compliance and Ethics Center, LRN

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

Case for Compliance, The: An article from the American Bar Association (ABA, 2003)

Corporate Compliance Programs in the Aftermath of Sarbanes-Oxley (ABA)

Business Ethics and Compliance in the Sarbanes-Oxley Era (2003)

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

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

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

GAO Forum on Governance and Accountability: Challenges to Restore Public Confidence in U.S. Corporate Governance and Accountability Systems (2003)

Sarbanes-Oxley and ISO 9000 (2005)

ANSI-ASQ National Accreditation Board (ANAB)

Advisories: ANSI-ASQ National Accreditation Board (ANAB)

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

Putting COSO's Theory into Practice (2005)

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

FDIC, Strategies for Enhancing Corporate Governance, Audit Report No. 04-032 (2004)

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

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

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

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

Proposed Amendments to U.S. Sentencing Guidelines Portend Significant Changes to Corporate Compliance Programs (July 2004)

USSC, Organizational Guidelines Page

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

Federal Sentencing Guidelines: Enterprise Risk Management (2004)

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

SEC, Spotlight On: Internal Control Reporting Provisions

Key Elements of Antifraud Programs and Controls (2003)

Seven Habits Of Highly Effective Compliance Programs, Executive Summary (July 12, 2005)

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

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

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

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

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

Struggling to incorporate the COSO recommendations into your audit process? Here's one audit shop's winning strategy.

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

Sprint Nextel Corporation: Audit Committee Charter (2005)

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

Sarbanes-Oxley's Effects on Small Firms: What is the Evidence? (June 2007)