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

Anti-Corruption & Fraud, GRC Capability and Processes

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

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

Anti-Corruption & Fraud, Whistleblowing and Retaliation, GRC Capability and Processes

Key Elements of Antifraud Programs and Controls (2003)

Audit & Evaluation

SEC, Spotlight On: Internal Control Reporting Provisions

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

Audit & Evaluation, GRC Capability and Processes

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

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

ISO, 14000 Family of International Standards

International Organization for Standardization (ISO)

Audit & Evaluation, Risk Assessment

Federal Sentencing Guidelines: Enterprise Risk Management (2004)

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

ISO Management Standards - Specific applications

ISO, Quality management principles

ISO 9001 Auditing Practices Group

ISO 9001 Accreditation Auditing Practices Group

Crisis Management & Response

Business Continuity Maturity Model® (BCMM®)

Education & Training

Operational Controls

Ethical Culture

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

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)

Governance, Executive Compensation

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

GRC Capability and Processes

New York Stock Exchange (NYSE) Listed Company Manual

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)

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

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

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

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

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

Sarbanes-Oxley and ISO 9000 (2005)

ISO Code of Ethics

ISO Annual Reports

Advisories: ANSI-ASQ National Accreditation Board (ANAB)

ANSI-ASQ National Accreditation Board (ANAB)

GRC Planning and Organization, GRC Capability and Processes

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

USSC, Organizational Guidelines Page

GRC Planning and Organization

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

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

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

Sprint Nextel Corporation: Audit Committee Charter (2005)

Investigations

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

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

Risk Assessment

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

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

Training & Education

Legal Compliance and Ethics Center, LRN