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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