GRC Capability and Processes

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ISSSP, Internatonal Society of Six Sigma Professionals resource Organizations & Associations Member contributionOCEG Reviewed
ISSSP is a professional membership organization dedicated to the advancement of education, research and implementation of Six Sigma, as well as the integration of Six Sigma with other business practices. ISSSP’s global community includes corporate and affiliate participants, and individual members representing large and small businesses from a wide range of industries.
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Measuring the Effectiveness and Performance of Your Program (July 2007) resource White Papers Member contributionOCEG Reviewed

CFO Project Volume 3, (7/31/2007)

By Scott L. Mitchell, Open Compliance & Ethics Group (OCEG )

Identifying business objectives is the first step in determining whether a GRC program is succeeding in its mission.

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IT Control Objectives for Sarbanes-Oxley 2nd Edition (September 2006) resource Books / Publications Member contributionOCEG Reviewed

Available to ISACA Members only.

This publication provides CIOs, IT managers, and control and assurance professionals with scoping and assessment ideas, approaches and guidance in support of the IT-related Committee of Sponsoring Organizations of the Treadway Commission (COSO) internal control objectives for financial reporting.

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What the Board Needs to Know About IT: Phase II Findings (Deloitte, 2007) resource Research / Studies Member contributionOCEG Reviewed
Maximizing performance through IT strategy "The Board and Information Technology Strategies: Maximizing Performance through IT Strategy” is the latest report in Deloitte Consulting LLP’s (Deloitte Consulting's) research initiative to explore how boards of directors are approaching information technology (IT).
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Sarbanes-Oxley's Effects on Small Firms: What is the Evidence? (June 2007) resource Articles Member contributionOCEG Reviewed
This article presents an overview of the regulatory regime created by the Sarbanes-Oxley Act of 2002 (SOX) and its implications for small firms. We review the available evidence in three distinct domains: compliance costs, stock price reactions, and firms' decisions to exit regulated securities markets.
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GRC Issues, Professional Blogs resource Blog Member contributionOCEG Reviewed
Collection of blogs written by respected industry sources on various Governance issues and Risk Areas.
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Strategic Initiatives for the World at Work, Littler Mendelson PC (2005 - 2006) resource White Papers Member contributionOCEG Reviewed

This white paper discusses: - The Role of the Chief Compliance Officer: Integrating Employment and Labor Law Compliance into the Corporate Compliance Initiative and Learning the New Language of Compliance - A World Class Standard for Crisis Management in the Workplace: Implementing the American National Standard on Disaster/Emergency Management and Business Continuity Programs (NFPA 1600)

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CFO.com, McNulty Revises Thompson Memo (2006) resource Articles Member contributionOCEG Reviewed
This article discusses the recent revisions to the Thompson Memorandum amending the guidelines used by federal prosecutors to consider a company's compliance efforts as a determining factor on whether to proceed with prosecution. The revision effects attorney-client privilege, placing new restrictions on obtaining privileged information.
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DOJ, Holder Memorandum, Bringing Criminal Charges Against Corporations, Federal Prosecution of Corporations (June 16, 1999) resource Agency Guidances Member contributionOCEG Reviewed
Predecessor to the Thompson Memorandum, this document provided guidance as to what factors would generally inform a prosecutor in making the decision whether to charge a corporation in a particular case.
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DOJ, McNulty Memorandum, Principles of Federal Prosecution of Business Organizations (Dec. 12, 2006) resource Agency Guidances Member contributionOCEG Reviewed
This memorandum supersedes and replaces guidance contained in the Memorandum from Deputy Attorney General Larry D. Thompson entitled Principles of Federal Prosecution of Business Organizations (January 20,2003) (the "Thompson Memorandum") and the Memorandum from the Acting Deputy Attorney General Robert D. McCallum, Jr. entitled Waiver of Corporate Attorney-Client and Work Product Protections (October 21, 2005) (the "McCallum Memorandum").
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