Sharing our expert insight with you 

Global Compliance’s expert advisors have spent their lives making a mark on the ethics and compliance industry, from serving as U.S. Department of Justice attorneys to participating on the U.S. Sentencing Commission’s Advisory Panel.  They have run ethics and compliance programs for major corporations and have headed the Ethics and Compliance Officer Association.  Fortunately, they also make time to share their expertise with our clients.  This library includes white papers designed to address the important ethics and compliance issues of the day, including the UK Bribery Act, Dodd-Frank, sexual harassment, social media and diversity in the workplace - and many other issues critical to minimizing risk.  With an authority that only comes from a deep and real-world understanding of the industry, our expert advisors provide the insight and analysis you require to keep your ethics and compliance program up-to-date and relevant.

This White Paper answers the top questions organizations should be asking themselves in order to minimize risks associated with the Dodd-Frank Act and the SEC Whistleblower Program – and maintain an effective ethics and compliance program.

Eight vital questions are addressed, including:

• Is your organization impacted by the SEC Whistleblower Program?
• How likely are employees to bypass your internal hotline – and report directly to the SEC?
• Do your employees – and other stakeholders – know how to report allegations internally?
• Are you tracking the right allegations?

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By Ed Petry, PhD, Vice President, Ethical Leadership Group

In this Briefing Memo we discuss the final rules adopted on May 25, 2011 by the U.S. Securities and Exchange Commission (SEC) for its new whistleblower program.  You will learn:

• What the whistleblower program rules are and what’s new about them
• How the SEC’s whistleblower program may impact your company and your ethics and compliance efforts
• What actions you should take, now and in the weeks and months ahead 

To learn more about the SEC's new rules and how they may affect your organization-- 
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Edited by Ed Petry, PhD, Vice President, Ethical Leadership Group

This White Paper details nine major challenges and corresponding best practices to help organizations maximize their Hotline and Case Management solutions, including:

• It is essential that a whistleblower hotline be perceived as independent and credible
• The whistleblower hotline must be universally accessible and user-friendly
• Systems, tools and processes must enable accurate, intelligent tracking, reporting and decision-making 

To learn the details of all nine best practices and optimize your hotline program-- 
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This paper outlines the five essential steps to developing an effective social media policy for your organization. 

By Michael W. Johnson, Co-President, Training and Education Solutions Global Compliance

This White Paper details the most important elements of the UK Bribery Act 2010 and then discusses the steps companies should take to ensure that they have “adequate procedures” in place to prevent prosecution under the law.

To ensure your organization knows the challenges posed by the Act and how to address them--
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By Michael W. Johnson, Co-President, Training and Education Solutions Global Compliance

The Sarbanes-Oxley Act of 2002 directed the United States Sentencing Commission to ensure that the Federal Sentencing Guidelines were “sufficient to deter and punish” organizational criminal misconduct. In response, the Sentencing Commission proposed important amendments to the Sentencing Guidelines—which will become law on November 1, 2004. The new Guidelines greatly increase organizations’ obligations to institute effective ethics and compliance programs. In particular, the new Guidelines require organizations to periodically provide compliance and ethics training to all employees.

To ensure your organization meets the training requirements of the Federal Sentencing Guidelines--
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By Steve Priest, Senior Advisor, Global Compliance and Founder, Ethical Leadership Group

Fourteen years after the original Sentencing Guidelines were published, many smaller companies still have only a few rudimentary elements of an effective ethics and compliance program in place. Fortunately, by 2005 virtually every Fortune 200 company—and most Fortune 500 companies—have established a basic ethics and compliance program. It is to directors of these companies that we direct this white paper.

To learn what next steps to take after establishing a basic ethics and compliance program--
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By Mary Bennett, Ethical Leadership Group.

All of us in the compliance world have heard, many times, that any effective compliance and ethics program must include training. Since we already know the requirement, you are probably reading this article for one of two reasons: (1) You have no idea how to tackle your first training effort, or (2) You’ve completed at least one round of training and you are starting to wonder how to improve or increase interest the next time around. I will strive to offer ideas that will meet both needs.

To learn how best to launch, or re-launch, ethics and compliance training--
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