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What is socially responsible investment?
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dean771100
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ESG Engagement Inisghts
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Based in part on 70 interviews with General Counsels and Chief Compliance Officers of the S&P 500 along with secondary research, this presentation provides an overview of the compliance function, role of and challenges faced by the chief compliance officer, and the trend towards departmentalization of the compliance department from the legal department. It hypothesizes that departmentalization may not increase actual compliance, increase external and internal transparency, or increase visibility and entrenchment of compliance. It concludes by recommending a more inward as opposed to structural focus to better identify internal stop gaps that prevent corporations from creating a pervasive culture of compliance.
DeStefano, Compliance, Transparency, Visibility: A U.S. Perspective: Cloudy A...
DeStefano, Compliance, Transparency, Visibility: A U.S. Perspective: Cloudy A...
Michele DeStefano
The 2017 Edelman Trust Barometer Special Report: Institutional Investors, a survey of institutional investors who invest in global equities highlights emerging business risks and opportunities for companies, their boards, and management to build and maintain trust with the financial community. The inaugural report reveals that roughly half of institutional investors think that most companies do not acknowledge the risks to their business from the current political climate, reflecting broader concerns raised in the Trust Barometer Global Report 2017.
2017 Edelman Trust Barometer Special Report: Investor Trust Executive Summary
2017 Edelman Trust Barometer Special Report: Investor Trust Executive Summary
Edelman
Trends in the environmental, social, and governance investing space
Asset Managers and ESG
Asset Managers and ESG
Callan
✍️
Essay On Desperate Air
Essay On Desperate Air
Gina Alfaro
Compliance Professional Yesterday, Today And Tomorrow
Compliance Professional Yesterday, Today And Tomorrow
Ann Oglanian
GovernanceMetrics helps investors compare companies on their corporate governance quality and risk
GovernanceMetrics Linked In Presentation
GovernanceMetrics Linked In Presentation
btconnolly
Nimonik.com recently conducted a survey of 100 compliance and risk professionals in the US, USA and in China. The participants were from mid-market firms (500-15,000 employees) and were leaders within their organization. These insights show that there remains much work to be done to achieve comprehensive compliance across mid-market firms.
State of Compliance 2021 at Mid-Market Firms - Nimonik
State of Compliance 2021 at Mid-Market Firms - Nimonik
Nimonik
Week 5/ACC 290 Week 5 DQ1(What is the Control Environment).docx Week 5 DQ1 What is the control environment? How does the control environment affect a company’s internal controls? What are the negative and positive elements of a control environment? What are two examples of strong and weak internal controls in organizations where you have worked or have first-hand knowledge? The control environment is the basis of the entire control system that the organization is establishing. The control environment is the value that is placed on integrity and the knowledge that unethical activity will not be tolerated. It is management’s responsibility to express behavior and attitude that enforces this ethical behavior. The control environment affects the internal control by setting a basis of control activities that safeguard assets, enhance accounting reliability, increase efficiency of operations, and compliance with laws and regulations. The negative elements of a control environment are that strict adherence must be applied continuously. Sometimes employees become overworked and underpaid and this is cause for concern because their level of carelessness goes up. Other times people might become slack in their duties over time. Some of the positive elements of a control environment are that responsibility does not lie on one person but many. Each part of a process requires several people to handle it therefore offering little opportunity to do wrong. Other positives are the process of that accountability is established and understood by each individual. An example of a weak internal control I witnessed was in a friend’s tanning bed business. The friend worked during the day and outlined how she expected her teenage employee’s to behave through policies and procedures. To my friends face the employees were the picture of a model employee but when she left in the evenings to go home and let them finish out the night the trouble would begin. The employees were letting all their friends tan for free, selling them tanning products and pocketing the cash. My friend finally put up a camera and goodness was she shocked at what was happening after she left for the evening. A strong control system that I have knowledge of is the system where I presently work. Our everyday policy is outlined in who does what – no procedure is ever fully completed by just one person. For example, my student employees run the registers, I prepare the deposit, another person drops off the deposit, and the final person reconciles the transactions. If I were to do another procedure then I would not be allowed to do the one I am doing now. It is just simply separation of duties so that one person does not hold all of the control or responsibility. References Kimmel, P. D., Weygandt, J. J., & Kieso, D. E. (2011). Financial accounting: Tools for businessdecision making (6th ed.). Hoboken, NJ: John Wiley & Sons. Week 5/ACC 290 Week 5 DQ2 (Key Internal Controls ).docx Week 5 DQ2 How wo.
Week 5ACC 290 Week 5 DQ1(What is the Control Environment).docx.docx
Week 5ACC 290 Week 5 DQ1(What is the Control Environment).docx.docx
melbruce90096
ACI's 7th Houston FCPA Boot Camp will provide you with practical strategies and best practices for addressing high risk areas for enforcement across global business operations while taking you deeper into the world of FCPA and anti-corruption compliance.
FCPA Boot Camp
FCPA Boot Camp
Rachel Hamilton
Article on the changing compliance landscape and how the modern scientific approach to designing compliance and ethics program will yield better results.
What's your approach. ethikos article
What's your approach. ethikos article
Jyoti Pandey
What's your approach. ethikos article
What's your approach. ethikos article
Jyoti Pandey
Semelhante a Compliance A New Vision
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Managing A Start Up And Ethics M5
Managing A Start Up And Ethics M5
Compliance A New Vision
Compliance A New Vision
Introduction to the corporate governance
Introduction to the corporate governance
Pre-Paid Legal Services
Pre-Paid Legal Services
Seizing the regulatory opportunity: A Deloitte perspective on how financial i...
Seizing the regulatory opportunity: A Deloitte perspective on how financial i...
ESG and Compliance: Where do we go from here?
ESG and Compliance: Where do we go from here?
ge-healthcare-investor-day-presentation.pdf
ge-healthcare-investor-day-presentation.pdf
Introduction to due diligence for mba
Introduction to due diligence for mba
Enterprise Risk Management & Cybersecurity: Is Your Health Plan Ready?
Enterprise Risk Management & Cybersecurity: Is Your Health Plan Ready?
DeStefano, Compliance, Transparency, Visibility: A U.S. Perspective: Cloudy A...
DeStefano, Compliance, Transparency, Visibility: A U.S. Perspective: Cloudy A...
2017 Edelman Trust Barometer Special Report: Investor Trust Executive Summary
2017 Edelman Trust Barometer Special Report: Investor Trust Executive Summary
Asset Managers and ESG
Asset Managers and ESG
Essay On Desperate Air
Essay On Desperate Air
Compliance Professional Yesterday, Today And Tomorrow
Compliance Professional Yesterday, Today And Tomorrow
GovernanceMetrics Linked In Presentation
GovernanceMetrics Linked In Presentation
State of Compliance 2021 at Mid-Market Firms - Nimonik
State of Compliance 2021 at Mid-Market Firms - Nimonik
Week 5ACC 290 Week 5 DQ1(What is the Control Environment).docx.docx
Week 5ACC 290 Week 5 DQ1(What is the Control Environment).docx.docx
FCPA Boot Camp
FCPA Boot Camp
What's your approach. ethikos article
What's your approach. ethikos article
What's your approach. ethikos article
What's your approach. ethikos article
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A review of indemnities, fault-analysis, risk-based analysis and dispute resolution in international contracting.
Indemnities and Fault in International Contracting
Indemnities and Fault in International Contracting
tomfoxlaw
A review of FCPA compliance requirements for due diligence on foreign business partners; including agents, consultants, freight forwarders and joint venture partners. This presentation also discusses management relationship issues of business partners.
Foreign Agents, Distributors, Consultant, Freight Forwarders and JVs
Foreign Agents, Distributors, Consultant, Freight Forwarders and JVs
tomfoxlaw
A review of the due diligence required for third party business relationship and their management.
Shakespeare and the Tragedies of Foreign Agents, Distributors, Consultant, Fr...
Shakespeare and the Tragedies of Foreign Agents, Distributors, Consultant, Fr...
tomfoxlaw
A review for the due diligence on and management of third party business relationships.
Shakespeare and the Tragedies of Foreign Agents, Distributors, Consultant, Fr...
Shakespeare and the Tragedies of Foreign Agents, Distributors, Consultant, Fr...
tomfoxlaw
Excellent review of risk management in international contracting
Indemnities and Fault in the International Arena
Indemnities and Fault in the International Arena
tomfoxlaw
A guide to various dispute resolution clauses.
Shakespeare’s Tragedies as a Guide to Contract Based Dispute Resolution
Shakespeare’s Tragedies as a Guide to Contract Based Dispute Resolution
tomfoxlaw
This informative presentation will serve as a guide to navigating the use of international business and transaction partners under the Foreign Corrupt Practics Act (FCPA)
Due Diligence on Foreign Agents, Distributors, Consultant, Freight Forwarders...
Due Diligence on Foreign Agents, Distributors, Consultant, Freight Forwarders...
tomfoxlaw
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Indemnities and Fault in International Contracting
Indemnities and Fault in International Contracting
Foreign Agents, Distributors, Consultant, Freight Forwarders and JVs
Foreign Agents, Distributors, Consultant, Freight Forwarders and JVs
Shakespeare and the Tragedies of Foreign Agents, Distributors, Consultant, Fr...
Shakespeare and the Tragedies of Foreign Agents, Distributors, Consultant, Fr...
Shakespeare and the Tragedies of Foreign Agents, Distributors, Consultant, Fr...
Shakespeare and the Tragedies of Foreign Agents, Distributors, Consultant, Fr...
Indemnities and Fault in the International Arena
Indemnities and Fault in the International Arena
Shakespeare’s Tragedies as a Guide to Contract Based Dispute Resolution
Shakespeare’s Tragedies as a Guide to Contract Based Dispute Resolution
Due Diligence on Foreign Agents, Distributors, Consultant, Freight Forwarders...
Due Diligence on Foreign Agents, Distributors, Consultant, Freight Forwarders...
Compliance A New Vision
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