Corporate Documents & Filings

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Corporate Documents & Filings

Latest Spreadsheet of Auditor Changes

Compliance Week December 18, 2011

Downloadable spreadsheet of the most recent changes in certifying accountants at public companies. Includes new auditor, departing auditor, and reason for departure. Use tabs along the bottom of the spreadsheet to navigate different time periods.

Social Media Policy

David Frishkorn July 21, 2011

This is a sample of the social media usage policy recently adopted by Comverse Technology.

Auditor Changes From 2010

Compliance Week April 15, 2011

Downloadable spreadsheet of every auditor change disclosed on Form 8-K during the calendar year 2010.

Sample Code of Conduct

Kuryk Barbara September 01, 2010

The following example of a Code of Conduct, “Our Commitment to Integrity,” was submitted by Barbara Kuryk, VP, Compliance and Ethics for BP.

Auditor Changes from 2009

Compliance Week January 01, 2010

Downloadable spreadsheet of every auditor change disclosed on Form 8-K during the calendar year 2009.

Auditor Changes from 2008

Compliance Week January 05, 2009

Downloadable spreadsheet of all auditor changes disclosed during calendar year 2008.

Insider Trading Policy

Anonymous August 26, 2008

This policy was submitted by the CRO at a bank holding company. As a result, the verbiage may not be immediately transferable for use at your company; however, changing a few definitions would probably resolve any issues. The document describes scope, and outlines specific prohibitions for insiders. Disclosure is also addressed.

Internal Audit Policy

Anonymous August 26, 2008

Audit policy, submitted by the CRO at a bank holding company, that "identifies the purpose, authority, and responsibility of the internal audit function."

Risk Assessment Process

Anonymous August 26, 2008

Very clean and logical look at the risk assessment process in place at a bank holding company. According to the submitter, the document is a guide for risk managers in performing a risk-assessment analysis of a process (or line of business).

Anti Fraud Policy and Response Program

Anonymous August 26, 2008

This three-page anti-fraud program was submitted by the VP Business Process Controls at a $4+ billion company in the hospitality space. Submitted anonymously, the document defines and addresses misappropriation of assets, financial reporting fraud, bribery (i.e., FCPA), and more. It also broadly outlines policy, including awareness, assessment, monitoring, reporting, investigation, discipline and remediation.

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Survey of the Week

Deloitte is conducting their annual Look Before You Leap: Managing Risks in Global Investments survey to better understand the approaches companies are taking to address compliance and integrity-related risks in emerging markets.