Sample Board Report - Convercent

convercent

SAMPLE BOARD REPORT*

Ethics & Compliance Program Update

*the data and content in this report are samples meant for demonstration purposes only, and not based on actual customer data or compliance program

COMPLIANCE PROGRAM OVERVIEW COMPLIANCE RISKS PROGRAM INITIATIVES PROGRAM PLAN

?2016 Convercent. All rights reserved.

AGENDA 2

COMPLIANCE OBJECTIVES

COMPLIANCE PROGRAM MACRO THEMES 4

AWARENESS: We communicate our commitment to ethics and compliance broadly and frequently to our executives, employees and third parties

COMPETITION: We win business fairly, based on the merits of our products, services and people

ANTI-CORRUPTION: We don't pay or promise anything of value to earn business or competitive advantage

PRIVACY & DATA PROTECTION: We protect personal information from unauthorized access, use, storage or disclosure

COMMITMENT TO OPEN DOOR/NON-RETALIATION: We want employees to raise concerns, questions or reports of misconduct without fear of retaliation

SUPPLY CHAIN COMPLIANCE: We ensure our third-party suppliers are conducting business responsibly and sustainably

ZERO TOLERANCE: We have a zero tolerance policy for compliance violations; and we identify, investigate and address violations rapidly and appropriately

?2016 Convercent. All rights reserved.

COMPLIANCE PROGRAM STRUCTURE 5

BOARD/AUDIT COMMITTEE

CEO

CHIEF COMPLIANCE OFFICER

OFFICE OF BUSINESS ETHICS

COMPLIANCE COMMITTEE

BUSINESS DIVISION COMPLIANCE COMMITTEES

BUSINESS FUNCTION

PRODUCT LINE

REGIONAL COMPLIANCE OFFICERS REGIONS

?2016 Convercent. All rights reserved.

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