Ethics and Compliance

Publications

Executive Action Reports

June 2009	Ethics and Compliance Enforcement Decisions – the Information Gap Senior executives and corporate directors want to know whether companies have "received credit" (i.e., avoided prosecution or obtained sentence reductions) for having effective ethics and compliance programs - but such information is in short supply. File size: 126KB
January 2008	Working at the Intersection of Human Resources and Business Ethics – the Need for Collaboration When it comes to the implementation of an effective ethics and compliance program, corporate culture, performance incentives, and disciplinary systems must be closely integrated with standard human resources and talent management processes. File size: 126KB
January 2008	A Place at the Table: Should the Ethics Function Report to a Company's Highest Authority? An increasing number of professionals in the ethics field advocate that the chief ethics officer report to a company's highest authority. File size: 110KB
November 2007	Company Focus on the Risk of Third-Party Misconduct — A New Strategic Consideration The need for partners in global markets, and the competitive and external pressures for high standards of business conduct from governments, international organizations, and NGOs are resulting in an increased company focus on third-party business conduct. File size: 112KB
September 2007	Building an Ethical Company Whether large, small, or medium-sized, ethics and compliance programs are now essential to a company's DNA. File size:
March 2007	The Convergence of Principle- and Rule-Based Ethics Programs: An Emerging Global Trend? There is a growing recognition that principles and rules are both essential elements in an effective ethics and compliance program. What is at stake in the ethics versus compliance debate? File size: 244KB
December 2006	Soft Law and Ethics Programs: The Expanding Role for Company Attorneys This Executive Action explores "soft law" issues and how they have created a new role — and new dilemmas — for lawyers. File size:
September 2006	Ethics Programs and Practices: A 20-Year Retrospective Taking an overview of corporate ethics codes in the past 20 years, this report finds that such codes are becoming more detailed and precise. File size: 263KB
April 2006	Cultural Resistance to Whistleblowing Systems—Myth or Reality? Americans may think that whistleblowing systems don't work abroad because workers and governments don't want them. But they can work, and new conversations explore some of the challenges of taking the concept abroad. File size: 102.4 KB
November 2005	Defining the Corporate Ethics Brand Corporate Ethics and Social Responsibility, although seen as equivalent by the public, have different lines of authority, and different sources of institutional support. Is there a way to integrate them and mold a coherent Corporate Ethics Brand? File size: 92.7 KB
June 2005	Using Ethical Analysis to Guide Offshoring When considering offshoring, how can companies significantly reduce their exposure to risk? File size: 184.9KB
May 2005	Why Ethical Leaders Are Different What makes an ethical leader different? An ethical leader welcomes open and contentious debate and understands that this is essential to making the best possible decisions. File size: 82.3KB
March 2005	Minimizing Risk and Maintaining Ethics in Asia–Pacific In order to cope successfully when doing business in the Asia-Pacific world, one must take into consideration the region's unique culture and the higher incidence of certain kinds of risks. File size: 200.7KB
March 2005	How Prepared Are Companies for the Revised Sentencing Guidelines? The modification of the Sentencing Guidelines in November 2004 included three newly emphasized ethical requirements. How prepared are companies to respond to these new challenges? File size: 128.0KB
February 2005	Reaching the Goal Line On Good Governance Complying with Sarbanes-Oxley has been a difficult undertaking for small and medium sized companies. It has been a painful learning experience with more lessons to be learned. File size: 105.1KB
January 2005	Beyond Compliance: The Future of Risk Management According to recent interviews with business managers, Enterprise Risk Management is gaining ground as a comprehensive approach for evaluating activities and assessing a multitude of risks associated with conducting business. File size: 139.6KB
August 2004	Conducting Independent Investigations Corporate leaders now must determine whether to conduct an independent investigation in response to a legal, regulatory, or corporate integrity crisis. File size: 103KB
June 2004	Defining The Values-Based Enterprise A renewed interested in the concept of a values-based enterprise has emerged. At the heart of the values based enterprise is the belief that companies need both “private” and “public” capital to survive and prosper. File size: 132.9KB
May 2004	CEOs and The Glass House This report is based on John R. Hall's remarks to The Conference Board's Director Institute. Hall emphasized the need for boards to ensure that ethical procedures are followed, and the company's Chief Executive Officer carefully monitored. File size: 97.8KB
March 2004	Recruitment, Retention, and Ethics . . . Can You Interview for Integrity? Many managers feel there is no way to scout out integrity when hiring employees. However, this report shows that there are questions that can be asked and simple steps taken during the interviewing process to prevent the hiring of unethical employees. File size: 112.5KB
September 2003	Ethics Programs: The Role of the Board Though recent events have imparted a new urgency to Board involvement and oversight of company ethics programs, a Conference Board study finds that such Board action is neither a new or a distinctly U.S. phenomenon. File size: 77.5KB
July 2003	Public Trust in Financial Markets Makes Modest Comeback Two years after the Enron scandal focused spotlight on the excesses and abuses of corporations of all sizes and reputations triggering a crisis of public trust, there are signs that the public's confidence in financial markets is on the mend. File size: 87.0KB
May 2003	Corporate Behavior Standards: A Worldwide Call to Reform The worldwide effort to restore public and investor trust in companies and their executives following recent corporate scandals in both the United States and Europe has spawned numerous calls for change in corporate conduct. File size: 78.4KB
August 2002	Are You the Next Enron? Why you might be . . . and what to do about it A Conference Board survey finds that even corporate ethics officers believe there is still more talk than action going on when it comes to ethics in the business world. File size: 69KB
June 2002	After Enron It's Back to Basics: 10 Questions Boards of Directors Need to Ask The adversarial history of corporate governance, the responsibilities required of directors, effective board processes, and red flag processes. File size: 69.2KB
April 2002	Morality and the Bottom Line: The Growth of Anti-Corruption Programs in the Private Sector Addresses global progress being made against corruption, the components of an effective corporate anti-corruption program, the effectiveness of ethics programs, and spreading the anti-corruption word. File size: 51.9KB
February 2002	The Enron Ethics Breakdown Focuses on the business ethics issues raised by the conduct of Enron's directors, officers, accountants, and lawyers. File size: 37.5KB

Research Reports