A main goal of compliance program:
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Assure Alignment between organization's mission, vision, values, and the
code of conduct
Fed sentencing guidelines Remedies:
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Restitution, Remedial Orders, Community Service,
Rules of Conduct: R3.5: CEPs shall maintain...
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their competence with respect to developments within the profession,
including knowledge of and familiarity with current theories, industry
practices, and laws.
What is the BEST outcome for compliance program?
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Mitigating Risk
Monaco Memo
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Determine if compliance program is effective, well designed, adequately
resourced, empowered to function effectively, and working in practice
CO assures what about the compliance program?
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That it is credible and run with integrity.
What must a CO recognize?
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Recognize the need for outside expertise.
Compliance Dept and CO promotes...
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a culture of compliance and ethics throughout the organization.
Risk Assessment: CO needs to prioritize...
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The organizational compliance risks
Risk Assessment Findings Assurance?
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Assure management action plans are developed and executed based on
risk assessment findings
Fed sentencing guidelines defines "Substantial Authority Personnel" as
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, Individuals who within the scope of their authority exercise a substantial
measure of discretion in acting on behalf of an organization. Determined
on case-by-case basis.
Sarbanes-Oxley Act = 3 Compliance Elements
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1. Conflict of Interest Protections 2. Whistleblower Protections 3.
Independence of Audits
What must the organization have?
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Non-Retaliation policy
The Compliance Officer manages what?
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Manages a compliance and ethics education program.
Rules of Conduct: R2.1 CEPs shall serve their employing organizations in a....
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Assure Alignment between organization's mission, vision, values, and the
code of conduct
Fed sentencing guidelines Remedies:
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Restitution, Remedial Orders, Community Service,
Rules of Conduct: R3.5: CEPs shall maintain...
,Give this one a try later!
their competence with respect to developments within the profession,
including knowledge of and familiarity with current theories, industry
practices, and laws.
What is the BEST outcome for compliance program?
Give this one a try later!
Mitigating Risk
Monaco Memo
Give this one a try later!
Determine if compliance program is effective, well designed, adequately
resourced, empowered to function effectively, and working in practice
CO assures what about the compliance program?
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That it is credible and run with integrity.
What must a CO recognize?
,Give this one a try later!
Recognize the need for outside expertise.
Compliance Dept and CO promotes...
Give this one a try later!
a culture of compliance and ethics throughout the organization.
Risk Assessment: CO needs to prioritize...
Give this one a try later!
The organizational compliance risks
Risk Assessment Findings Assurance?
Give this one a try later!
Assure management action plans are developed and executed based on
risk assessment findings
Fed sentencing guidelines defines "Substantial Authority Personnel" as
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, Individuals who within the scope of their authority exercise a substantial
measure of discretion in acting on behalf of an organization. Determined
on case-by-case basis.
Sarbanes-Oxley Act = 3 Compliance Elements
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1. Conflict of Interest Protections 2. Whistleblower Protections 3.
Independence of Audits
What must the organization have?
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Non-Retaliation policy
The Compliance Officer manages what?
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Manages a compliance and ethics education program.
Rules of Conduct: R2.1 CEPs shall serve their employing organizations in a....
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