Corpedia’s Advisory Services Team has the talent, tools, and know-how to develop and maintain your entire ethics and compliance program, or to revamp an existing program to maximize its effectiveness. We offer an array of advisory services—everything from ethics and compliance program diagnostics to code of conduct development, design, and training—to meet your every need.

As advisors, our role is to help you promote and imbue your organization with a culture of integrity by creating and implementing an effective and engaging ethics and compliance program—one that is custom created to meet your specific needs, to convey the look and feel of your branding and style, and to rouse your employees to the very highest standards of ethical behavior.

Peer BenchmarkingSM

Periodically monitoring the effectiveness of an organization’s compliance program is a well-known element of the U.S. Sentencing Commission Organizational Guidelines. As the Department of Justice has noted, a good compliance assessment should determine if any new peer practices have been developed in the past year and if they should be incorporated into the company’s compliance program. Peer Benchmarking is a service that fulfills this task perfectly, offering:

  • A Peer Benchmarking Analysis Report
  • A Code of Conduct Scorecard
  • A findings call with Advisory Services to review results and recommendations for improvement where relevant

Peer Benchmarking provides companies with an effective, pragmatic understanding of where their compliance program stands against accepted best practices and in comparison to their peers, whether measured by industry, company size or market cap. Peer Benchmarking provides organizations with:

  • Quantitative and qualitative data analysis
  • A competitive edge to ensure an organization’s program is as or more effective than that of peers and competitors
  • A deep data set compiled over 7 years focusing on key elements of program quality including size of the program, training reach, and board reporting
  • If desired, a comparison of an organization’s current practices to best-in-class World’s Most Ethical Companies’ compliance programs

Anti-Corruption Solutions

As global organizations continue to seek growth in new and developing markets where bribery and other forms of corruption present the highest risks, accurately measuring and managing these risks and assessing the effectiveness of your current anti-corruption and compliance programs will help in mitigating the threats they pose. Coupled with anti-corruption and anti-bribery regulations in place globally and a record number of trials, prosecutions, and corporate fines, corruption is a “bet the organization” risk area for any organization doing business overseas.

Leveraging our partner Ethisphere’s extensive database information along with Corpedia’s industry-leading expertise, Corpedia’s Anti-Corruption Solution Set can provide an essential understanding of your current program’s strengths and weaknesses by identifying the factors impacting organizational corruption risks. Corpedia’s in-depth recommendations will rank and prioritize these risks and provide practical guidance for addressing them.

FCPA/Anti-Corruption Program In-depth Review

Utilizing a proprietary system of tools, templates, metrics, and indicators to evaluate your anti-corruption initiatives and program components, the FCPA/Anti-Corruption Program In-Depth Review examines your organization’s policies and procedures, verifying appropriate controls are in place and proper training has been delivered to employees. Additionally, Corpedia advisors will review internal and external documentation, interview key employees, and conduct an employee survey. Unlike many other organizations who provide review services, Corpedia not only provides in-depth insight into your program but also benchmarking against your peers and actionable steps towards mitigating any threats and practical guidance on moving your program forward.

FCPA/Anti-Corruption Risk Assessment

Utilizing Corpedia’s proprietary methodology to benchmark your program against current regulations and industry best practices, the FCPA/Anti-Corruption Risk Assessment will determine the effectiveness of your program in preventing and mitigating corruption and bribery risks. Designed to be easily repeated, the FCPA/Anti-Corruption Risk Assessment helps you track and measure the success and progress of your anti-corruption program so your organization can continue to emphasize what works best and get the most return on your investment.

Code of Conduct and Written Standards

Often visible to both internal and external stakeholders, the Code of Conduct serves as the cornerstone of an organization’s ethics and compliance program. An effective Code ties key guidelines to your organization’s values and ethical commitments in a way that facilitates employees’ understanding of why compliance matters and why it is critical that they make ethical decisions.

Having written more than 200 Codes of Conduct, our Advisory Services team is the industry’s most reliable leader in Code of Conduct services. What’s more we are the only organization to maintain a benchmarking database complete with more than 4,500 Code reviews used to benchmark your Code against your industry peers and best practices.

Evaluation and Development

Utilizing our proprietary evaluation and scoring methodology as well as our benchmarking database, we will benchmark your Code of Conduct.

Our content and language experts will conduct an in-depth evaluation of your organization’s existing Code, addressing over 55 unique, detailed inspection points.

At the end of the evaluation, we provide a detailed report of the findings, including comprehensive commentary on the inspection points, recommendations for improvement, and more.

Writing Services

A poorly written Code is just as effective as no Code at all. NYSE Governance Services provides comprehensive Code of Conduct development, rewrite, and refresh services to organizations planning to build a new Code, rewrite their current Code, or revise an existing Code. Your Code of Conduct is a prime moment for you to communicate your organizational values and expectations to your employees.

Our proprietary Code development process helps ensure that your new Code reflects your organization’s style and culture, and provides employees with the following:

  • A clear statement of organizational mission and expectations
  • A concise outline of acceptable and unacceptable workplace behaviors, with relevant and realistic examples, scenarios, and FAQs
  • Guidance and contact information for asking questions and raising concerns over potential or actual instances of legal or ethical misconduct

We are committed to developing a user-friendly, readable, highly effective, and legally sound document that your organization will be proud to communicate to its employees, suppliers, and shareholders, as well as the public.

Graphic Design Services

In addition to a streamlined writing process, we offer a full graphic design service to transform the most important ethics and compliance document, the Code of Conduct, into an engaging, forward-facing communication tool. Our design team will work with your organization to ensure the look and feel aligns with your brand, the layout allows for easy reading, and the document as a whole aligns with your organizational culture. Engaging graphics and colors will draw in the reader, while an inclusive tone will give your employees a sense of ownership of the Code.

Interactive Solutions

We offer new and enhanced interactive solutions that are designed to keep readers more engaged and ease navigation. The interactive options will:

  • Allow the user to jump from section to section, rather than just page to page as with a standard PDF
  • Allow for additional information to be contained within a document via pop-ups and roll-overs
  • Provide the reader with the ability to engage with the document without internet connection
  • Provide an effective means to disseminate information thought the organization using navigation button, videos, rollover text and more
  • Provide a positive environmental impact and a cost efficient method of distribution without the need to print

Policy and Procedure Review, Rewrite, or Development

We offer a full range of assessment services to help organizations take inventory of all compliance-related policies and procedures. This review helps organizations ensure they have efficient, effective policies that inform and guide employees in all relevant compliance risk areas. We review and critique existing policies and procedures in light of the FSG, Sarbanes-Oxley, and peer best practices.

We have developed a robust methodology for review and modification of existing policies and procedures, and for the creation of new policies and procedures. Factors included in the review and analysis of policies and procedures include:

  • Policy existence
  • Comprehensiveness of content
  • Clarity and consistency of language
  • Organization and structure
  • Statement of authority for interpretation and guidance
  • Comprehension aids
  • Alignment with target employee audience, other policies, and organizational culture
  • Policy availability

View our previously recorded webinar series:

Compliance Risk Assessments

While not all compliance risks can be avoided, NYSE Governance Services offers a compliance and ethics risk assessment that aims to help your organization identify, prioritize, and prevent people-created risk. Utilizing both quantitative and qualitative methodologies, NYSE Governance Services generates a comprehensive and objective picture of an organization’s exposure to compliance risks.

The end result is a clear understanding of the specific and unique risks facing your organization, and practical recommendations to help you manage and mitigate these risks. Additionally, our Enterprise Compliance and Ethics Risk Assessment Solution measures risk in a way that is easily repeatable, helping you showcase your organization’s return on its investment in compliance and ethics. Our solution will help your organization satisfy the sixth hallmark of the Federal Sentencing Guidelines, which recommends regular monitoring and auditing of your program and compliance risks.

Enterprise Compliance and Ethics Risk Assessment (ECERA®)

A professional solution that leverages multi-disciplinary compliance expertise and measurement of “people risk” to help organizations identify, prioritize and mitigate risk. This proprietary risk assessment solution utilizes both quantitative and qualitative metrics and methodologies to assess the risks in terms of likelihood and severity in order to generate a comprehensive and objective picture of an organization’s unique exposure to ethical and legal compliance risks.

With ECERA, NYSE Governance Solutions conducts an examination of corporate policies, procedures, and controls, including the structure of the compliance program, comprehensive interviews and surveys, and a rigorous data analysis.

The results of the ECERA Report will help your organization be able to:

  • Identify the organization’s exposure to ethical and legal compliance risks
  • Present an overview of cultural strengths and weaknesses to leadership
  • Prioritize compliance and ethics initiatives to better mitigate risk
  • Demonstrate effectiveness of compliance and ethics employee initiatives

Compliance Environment Assessment

A survey tool used to evaluate the overall compliance environment within a specific job function or specific compliance area focusing on the risks pertinent to those functions/areas. This survey is part of our ECERA service offering and is primarily targeted towards senior-level managers.

Culture of Integrity and Compliance Assessment

To better understand their compliance environment and operating culture, an increasing number of organizations have turned to NYSE Governance Services to conduct an assessment or measurement of such. When an organization has a strong ethical culture, employees are not only more likely to act in a legally compliant and ethical manner, but are also more trusting of the compliance system, and more likely to report any improper behavior they observe.

The results of the Culture of Integrity and Compliance Assessment Report will help your organization be able to:

  • Present an overview of cultural strengths and weaknesses to leadership
  • Prioritize compliance and ethics initiatives to strengthen culture
  • Demonstrate effectiveness of compliance and ethics employee initiatives

Compliance Knowledge Assessment

Beyond an understanding of its own culture, an organization must also understand the extent to which its employees truly understand the standards that apply to their work. Employee knowledge and awareness are crucial risk aggravators. As a consequence, this is a critical component of misconduct prevention and detection efforts. One of the best ways to gauge employee knowledge within an organization is to conduct a Compliance Knowledge Assessment. We use relevant demographic qualifiers to assess employees’ knowledge of compliance risk areas.

The results of the Compliance Knowledge Assessment Report will help your organization be able to:

  • Prioritize updates to training and communication initiatives and/or content
  • Demonstrate the effectiveness of training and communications

FAR and Government Contractors

The fact of the matter is that government contractors are held to a higher standard, as evidenced by the provisions of the Federal Acquisition Regulation (FAR). Leveraging Corpedia’s expertise in compliance program review and design, the FAR/Government Contractor Solutions take into account the internal control requirements for ethics and compliance programs as outlined by the FAR, as well as the key “hallmarks” for effective ethics and compliance programs set forth by the FSG. These include written standards, training and communications, internal control systems, leadership, and tone from the top.

FAR and FSG Compliance Program Assessment

This in-depth assessment of your organization’s compliance program includes detailed mapping and evaluation of all components and processes, as well as benchmarking of your program against FAR requirements, best practices, and the Federal Sentencing Guidelines, including:

  • Written standards
  • Program structure and responsibility
  • Training and communication
  • Due care
  • Monitoring and auditing
  • Enforcement and discipline
  • Tone from the top
  • Corporate culture
  • Mandatory reporting

Program Oversight and Benchmarking

Under the U.S. Federal Sentencing Guidelines (FSG), an organization can be held criminally responsible and prosecuted for acts committed by employees based on the quality (or lack) of the organization’s efforts to prevent unethical behavior. Guideline §8B2.1 requires periodic evaluation of the effectiveness of your compliance and ethics program.

NYSE Governance Service’s Program Oversight and Benchmarking Solutions can help your organization do just that.

Compliance and Ethics Program Assessment

Using a proprietary system of tools, templates, metrics, and indicators, NYSE Governance Services can conduct a comprehensive review of your organization’s current compliance and ethics program and related initiatives, and audit them against the “hallmarks” of an effective ethics and compliance program defined by the FSG, as well as corporate and industry best practices, including:

  • Prevention and detection procedures
  • High-level oversight
  • Due care
  • Training and communications
  • Monitoring
  • Enforcement
  • Response
  • Tone from the top
  • Corporate culture
  • Code of conduct and written standards
  • Internal controls
  • Leadership accountability
  • Resources and authority
  • Measurement and evaluation
  • Risk assessment
  • Reporting system

Upon completion of the review and evaluation of your organization’s overall compliance and ethics program, NYSE Governance Services will develop and submit a detailed report addressing several key elements, as well as a concise executive summary.

Corporate Compliance Program Design

For those organizations with a nascent ethics and compliance program, NYSE Governance Services can also assist in the design of such a program. Using our deep benchmarking information, including trends and best practices across 37 industries, NYSE Governance Services Advisory Services team works with organizations to develop a pragmatic, effective, and appropriate ethics and compliance program.

These recommendations will take into account the “hallmarks” of an effective compliance program as defined by the Federal Sentencing Guidelines (FSG) and the COSO framework.

Peer Benchmarking

NYSE Governance Services Peer Benchmarking uses a proprietary system of metrics, surveys and indicators to benchmark your organization’s current compliance initiatives and practices against that of NYSE Governance Service’s benchmarking database for two dataset groups.

Our Peer Benchmarking solution provides organizations with:

  • Quantitative and qualitative data analysis
  • A competitive edge to ensure an organization’s program is as or more effective than that of peers and competitors
  • A deep data set compiled over 7 years focusing on key elements of program quality including size of the program, training reach, and board reporting
  • If desired, a comparison of an organization’s current practices to best-in-class World’s Most Ethical Companies’ compliance programs

Supply Chain Compliance

As businesses continue to expand globally, organizations are increasingly putting their faith—and their reputations—in the hands of third parties. Corpedia can help you protect your organization against the damage that can potentially be inflicted upon your company in the event of a compliance failure on a supplier’s part.

Managing business relationships in the supply chain can be as important as managing your business relationships in the sales chain. As such, your organization should perform sufficient due diligence to ensure your suppliers and their agents are being held to the same standards as your organization. Corpedia’s Supply Chain Compliance Solution Set was created to help organizations verify that they are choosing the right business partners; communicating their expectations to those partners; and monitoring their partners’ behavior.

Supplier Code of Conduct Writing Services

NYSE Governance Services provides comprehensive Supplier Code of Conduct Writing Services to organizations that are planning to either rewrite their existing supplier code or develop a new one. Just as a traditional code of conduct communicates organizational standards of behavior to the workforce and promotes the ethical culture of an organization, the supplier code must convey a similar message specific to an organization’s supplier base. Supplier codes should mirror the standards of employee codes of conduct—they should be clearly written and should communicate the organization’s values in a manner appropriate for the audience.

Training and Communications

Created to help organizations maximize the impact of training while reducing the costs of communicating your program to your employee base—large or small—Corpedia's Advisory Services Training and Communications Solutions satisfy the fourth hallmark of the Federal Sentencing Guidelines (FSG), aiding organizations in effectively communicating written standards and other aspects of the ethics and compliance program to their employee base, as well as complementing NYSE Governance Services' award winning online training solutions.

Compliance and Ethics Curriculum and Communications Plan Development

Corpedia's Curriculum Plan Development Solution was created to help organizations maximize the impact of training without consuming their entire program budget. By focusing training and communication efforts on functional roles and specific risks within your organization, you can train the right employees at the right time—ensuring the best use of their time and your budget, while removing instances of redundancy.

Based on an industry-level risk assessment, a review of the existing training curriculum, and an evaluation of the client’s employee base profile—and taking into account corporate culture, organizational needs and priorities, industry trends, and peer best practices—Corpedia will make in-depth recommendations on the development of an effective, multi-year compliance and training program. The training plan will address, among other things:

  • The types of training and/or communications necessary
  • Recommended content, length, frequency, schedule, and priority of training or communications
  • Target employee bases and functions to receive each type of training or communications
  • Modality of delivery and delivery systems
  • Implementation timeline

Manager Communication Kits

Setting “tone from the top” is critical to ensuring employees understand that the compliance program’s goals are endorsed by the executive team. However, an organization’s tone from the top must resonate through its middle management, thus ensuring the “tone from the middle.”

Recent research indicates that a majority of employees take their ethical behavior and compliance cues from middle management and feel most comfortable reaching out to their direct supervisor to discuss compliance issues or report violations. Unfortunately, research also demonstrates that middle managers often feel ill prepared for compliance conversations.

Empowering Middle Management with the Necessary Resources to Communicate and Reinforce Compliance Programs

Great for use throughout the year, managers can choose to present the most relevant compliance issues to their team. Corpedia’s Manager Communication Kits include:

  • Six Manager Kits
    Clients can choose six risk topics that include a ten-minute presentation
  • Manager Speaker Guides
    Notes for the speaker providing deeper insight into the risk topic to help with presenting and answering questions
  • “Introduction from the Top” Template
    Leadership communication template to establish “tone from the top”
  • Customizations
    Clients have the opportunity to make changes to the templates prior to delivery of the final solution
  • Organizational Branding
    Developed using your organizations presentations templates, Manager Communication Kits are sure to integrate seamlessly with additional, non-related materials

Compliance Program Communications Kit

Communicating your compliance and ethics program—and therefore, your organizational values and expectations—can be a daunting task. However, the most innovative organizations realize that developing a theme or brand for your compliance and ethics program can result in long-term adoption and success. To further your compliance initiatives, Corpedia offers several program theme options, providing a turnkey solution to begin communicating with your employee base. Simply select the theme that most closely aligns to your program, organization, and culture.

Alternatively, if your organization seeks a custom theme and design for its internal marketing kit, Corpedia will collaborate with you to develop one that will resonate with your employee base. Once you select a theme, Corpedia can extend this brand across internal communications, including:

  • Posters
  • Table tents
  • Newsletters
  • Intranet sites

And, if you are unsure where all these materials should go, Corpedia can provide an implementation guide with placement and distribution ideas.

Credentialing Services

NYSE Governance Services seeks to properly credential organizations that have significantly invested in an ethics and compliance program. We utilize Ethisphere’s credentialing services to recognize organizations maintaining industry best programs, and then we incorporate examples from these superlative programs into our comprehensive benchmarking database. Our credentialing and benchmarking capabilities can help an organization manage or improve even the most exemplary ethics and compliance program, by providing connections to future innovations in corporate governance policies.

Credentialing from NYSE Governance Services benefits your organization in many distinct ways. Our credentialing publically demonstrates that your organization exerts strong institutional leadership and maintains a congenial working environment. When your customers and shareholders encounter our credentials, they’ll know that your organization conducts business ethically and responsibly. Credentialing from NYSE Governance Services also generates rapport with peer institutions. Your credentials will help nurture relationships with peer organizations seeking ethical partners, and perhaps more importantly, will encourage those peers to demonstrate a similar commitment to ethics and compliance.

Our Partnership

NYSE Governance Services is a licensed credentialing partner of the Ethisphere® Institute. Our Compliance Advisory Services team is licensed to conduct and fulfill Ethisphere’s credentialing services, including all of the research, benchmarking and analysis required by Ethisphere’s;

  • Ethics Inside® Certification
  • Compliance Leader Verification™
  • Anti-Corruption Program Verification™

NYSE Governance Services offers three types of Credentialing:

  • Ethics Inside Certification is exclusively awarded to companies that demonstrate a superior employee and leadership culture, while maintaining compliance programs that encourage justifiable conduct and successfully mitigate risks.
  • Compliance Leader Verification authenticates organizations that maintain a best-in-industry ethics and compliance program. This award demonstrates that an organization proactively invests its resources in ethics and compliance, and is thus committed to equitable relations with employees, clients, and shareholders.
  • Anti-Corruption Program Verification certifies the effectiveness of an organization’s anti-corruption program, through a comprehensive review of policies, procedures, training and communications, controls, and enforcement.