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Centered on the principle that corporate compliance should be fully integrated into the organization, Ernst & Young helps organizations design and implement compliance infrastructures, processes, and controls to prevent and detect non-compliance, as well as enhance business performance.

Learn more about how we can help (pdf, 77kb).

Read more about Corporate Compliance

Demonstrating an effective Corporate Compliance program
In determining whether or how to charge a company with wrongdoing, prosecutors will consider many factors, including the existence of an effective compliance program. In this article, which originally appeared in Compliance Week, Ernst & Young professionals examine how to demonstrate an effective compliance program (pdf, 101kb), according to the US Federal Sentencing Guidelines.

Looking beyond controls: leveling the playing field to address compliance risk
Executives often find themselves addressing compliance issues reactively in response to litigation or regulatory action, resulting in increased costs and negative public exposure. In this Metropolitan Corporate Counsel article (pdf, 79kb), Ernst & Young Senior Manager Larry Iwanski and Senior Michael Ricks discuss a more proactive approach of using a compliance risk assessment to drive the prioritization of compliance resources. Learn the difference between "inherent" and "residual” risk, why it's important, and other leading practices of risk assessments.

SEC Chairman: economic uncertainty makes compliance more critical
Former SEC Chairman Christopher Cox recently cautioned an audience of compliance officers against cutting compliance budgets in response to the economic downturn. He warned that "When a company cuts compliance, violations will occur. And if violations occur, punitive actions should and will be taken. In the current environment, that is true now more than ever. There will be no favor granted because a company made a cost-cutting decision to minimize their compliance budget.” Read the full speech.

Weighing the costs of corruption or compliance
Corruption is a growing problem for businesses. Our 10th global fraud survey offers analysis of insights from nearly 1,200 executives into their experiences of bribery and corruption. We also describe the steps to create what we believe is an effective anti-corruption compliance program.

The Data Diaspora: managing privacy when data is dispersed
Technology continues to transform business. That’s not new. What is new is how these new technologies are requiring organizations to transform their approach to privacy management. As your organization takes on increasing responsibility for the privacy and security of personal information, will you change policies or use different technologies? Learn more about these challenges in this article by Executive Director Brian Tretick.

Compliance publications

• Building the Business Case for Investing in Records Management reprinted from Compliance Week (pdf, 501kb)|
• Compliance, convergence and how IT fits reprinted from CIO Magazine (pdf, 164kb)
• Entity-level controls (pdf, 190kb)
• Internal Controls: From compliance to competitive edge: new thinking on internal control (pdf, 892kb)
• Corporate monitors: taking corporate cooperation to the next level reprinted from Corporate Counselor (pdf, 104kb)
• Risk management in emerging markets (pdf, 412kb)
• BoardMatters quarterly: critical insights for today's Audit Committee from Ernst & Young US (pdf, 82kb)
  

Open Compliance and Ethics Group
A founding member of the Open Compliance and Ethics Group (OCEG), Ernst & Young has co-developed visual representations of key governance, risk and compliance initiatives in the "GRC Illustrated" series.

• Data privacy and security (pdf, 833kb)
• Evaluating GRC effectiveness (pdf, 372kb)
• Fraud risk (pdf, 344kb)
• Investigations (pdf, 551kb)
• Program performance (pdf, 323kb)
• Risk assessment (pdf, 487kb)