Compliance & Ethics Programs

Overview

Program Assessment

Risk Assessment

Monitorships and Related Services

Compliance and Ethics Program Structure

Board Oversight

Codes and Policies

Training and Communications

Reporting, Investigation and Response

Codes and Policies

Codes and Policies

The foundational document for any Compliance & Ethics program is the corporate code of conduct. We have drafted, edited, and assessed codes for many companies. We help companies develop codes that are user-friendly, risk–focused and comprehensive, while avoiding legal pitfalls that are all too common for codes. We have also helped companies develop Frequently Asked Questions and hypothetical scenarios to accompany codes, and have assisted many companies develop code training.

Other policies

In addition to codes, many companies implement more extensive policies to govern those areas of greater legal risk. We have drafted policies of many kinds governing a wide range of legal topics, including:

  • Conflicts of interest
  • Gifts and entertainment
  • Anti-corruption policies
  • Insider trading
  • Records retention
  • Protection of confidential information
  • Conducting internal investigations
  • Discipline for violations
  • Reporting procedures/anti-retaliation
  • Use of company resources
  • Use of electronic resources
  • Harassment
  • Investigations guidelines
  • Child labor and other social responsibility issues