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EthicsPoint Resources
Governance, Risk, and Compliance Resources
- Global Fraud Report: Annual Edition 2007/2008. Kroll commissioned The Economist Intelligence Unit to conduct a worldwide survey on fraud and its effect on business during 2007.
- Global and growing: Surge in FCPA actions catches multi-nationals off guard. Global Fraud Report on Corruption and the Foreign Corrupt Practices Act.
- Spanish Data Protection: A Position Paper
This is an unofficial translation of a Spanish Data Protection Agency position paper responding to an inquiry regarding operating an irregularity reporting system in Spain. This translation was prepared by EthicsPoint, Inc.
- The Association of Certified Fraud Examiner's (ACFE) 2006 Report to the Nation
A comprehensive report that sheds light on occupational fraud and abuse while offering stark lessons and valuable insight about its prevention and detection.
- Learning to Love Whistleblowers
By Darren Dahl, Inc. Magazine
- Compliance: Integrity Hotline Lets Stakeholders Share Concerns
By Debra D'Agostino, CIO Insight
- Cherry-Picking Sarbanes-Oxley, By Richard S. Savich
Private companies and charities aren’t required to comply with the Sarbanes-Oxley Act. But they can adopt some of its requirements as best practices...
- 5 Keys to Effective Helplines - An article by LRN
An ethics and compliance helpline can serve as a powerful way to engage a workforce, and ultimately help foster and fortify a winning corporate culture. This article outlines 5 keys to an effective helpline.
- Hotline/Helpline Operation in France
CNIL Requirements and the Single Authorization Process Explained: A Whitepaper
- Securities and Exchange Commission: SOX 2002 Final Rule
Standards relating to listed company audit committees.
- Sarbanes-Oxley Act of 2002
Full text of the Conference Report.
- SEC Final Rules
Final rules currently available on a quarterly basis, including additional archives.
- SEC Proposed Rules
Proposed rules currently available on a quarterly basis, including additional archives.
- Division of Corporation Finance: Sarbanes-Oxley Act of 2002 - Frequently Asked Questions
Q & A on the Sarbanes-Oxley Act.
- The Sarbanes-Oxley Act of 2002 - Will The New Reporting Requirements Enhance Investor Confidence?
Collation of resources developed by PwC related to the Act.
- Effect of Sarbanes-Oxley Act of 2002 on Insured Depository Institutions
The FDIC is providing guidance to institutions about selected provisions of the Sarbanes-Oxley Act, including the actions the FDIC encourages institutions to take to ensure sound corporate governance.
- International Whistleblower Hotlines Present Cultural Language Challenges For Companies
By Tiffany Kary, Dow Jones Corporate Governance, January 19, 2005.
- Whistleblowing: A Global Persepective (Part I)
By Lori Tansey Martens and Amber Crowell; ethikos, Volume 15, Issue 6.
- Globalization's Next Frontier: Principled Codes of Conduct that Bolster the Rule of Law
A speech from Deloitte CEO William G. Parrett.
- The Impact of Sarbanes-Oxley on Private Business
Discusses the standards for governance and reporting mandated in Sarbanes-Oxley that will impact private organizations.
- SEC Requires Exchange Listing Standards for Audit Committees
The new rules and amendments implement the requirements of Section 10A(m)(1) of the Securities Exchange Act of 1934, as added by Section 301 of the Sarbanes-Oxley Act of 2002.
- KPMG's Audit Committee Institute
This site provides materials (surveys) related to audit committee trends and concerns as well as other governance trends.
- An Inside View of Nonprofit Sector Ethics (National Nonprofit Ethics Survey published by the Ethics's Resource Center)
Rates of observed misconduct in nonprofit organizations are at the highest level since ERC began measuring in 2000. In 2007, more than half (55 percent) of nonprofit employees observed one or more acts of misconduct in the previous year, of a list of 18 types of misconduct.
- Legal Update from Arent Fox: IRS Proposal Would Require Nonprofits to Disclose Additional Information About Business Operations and Executive Compensation
In June 2007, the IRS issued a proposed new Form 990. The new form seeks significant, additional information beyond what is currently required. The IRS proposes to apply the new form in the 2008 calendar year for filings made in 2009. The public has until September 14, 2007, to provide any comments on the proposed form before it is finalized.
- Public Comment: Draft Redesigned Form 990
The IRS has released for public comment a discussion draft of a redesigned Form 990, Return of Organizations Exempt from Income Tax, filed by many public charities and other exempt organizations.
- Good Governance Practices Discussion Draft
A preliminary staff discussion draft of possible good governance practices for charitable organizations was recently shared with the public. The IRS will continue to review recent self-regulation proposals advanced by others and a consensus of good governance practices may emerge from the various proposals.
- Technology Tools Help Drive Self-Regulation in Nonprofits
A comprehensive whitepaper on how your nonprofit organization can use technology to deploy "best practice" programs that embrace self-regulation initiatives.
- The Association of Certified Fraud Examiner's (ACFE) 2006 Report to the Nation
A comprehensive report that sheds light on occupational fraud and abuse while offering stark lessons and valuable insight about its prevention and detection.
- A Conflict of Interest Policy of the Acme Association
A sample Conflict of Interest Policy for Associations, written by and posted with permission from Arent Fox, PLLC.
- Checklist for Accountability- Independent Sector
Actions every charitable organization can take to strengthen transparency and accountability.
- Final Report on the Nonprofit Sector - Panel on the Nonprofit Sector
Developed with the input of nonprofit leaders, experts, and volunteers, the report offers a comprehensive approach to strengthening accountability in nonprofits. Its recommendations call for improvement within the sector, more effective oversight, and changes in the law.
- Nonprofit Governance Best Practices Review - FORUM, May 2005
Written by Sharene Rekow of EthicsPoint, this article discusses four core principals that, if embraced, lead to greatly enhanced governance.
- The Sarbanes-Oxley Act and Implications for Nonprofit Organizations (by Boardsource and Independent Sector)
Provides nonprofit leaders practical recommendations to promote effective oversight of their organizations.
- The Impact of Sarbanes-Oxley on Private Business
Discusses the standards for governance and reporting mandated in Sarbanes-Oxley that will impact private organizations.
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