Ernst &Young Services AABS RAS FIDS Services Corporate Compliance - Ernst & Young - United States

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, 772.6kb).

Read more about Corporate Compliance

The hard work of culture-building
For risk management to be truly everyone's business, actions must be taken that are far more bold and encompassing than mere structural tweaks. Partner Hank Prybylski presents 10 actionable steps companies can take to weave risk management into your company's culture (pdf, 2mb), including eliminating "groupthink," and establishing the right performance metrics to influence behavior.

Investigative strategies from a former federal prosecutor
What do prosecutors think about while conducting an investigation? (pdf, 108.7kb) What are the strategies and tactics they employ to advance an investigation? How do they investigate a company, its officers or other entities or individuals? Senior Manager Carlos Singh provides insights from his former role as a federal prosecutor.

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, 79K), Ernst & Young Principal 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.

Compliance publications

• Building the Business Case for Investing in Records Management reprinted from Compliance Week (pdf, 502.9kb)
• Compliance, convergence and how IT fits reprinted from CIO Magazine (pdf, 164kb)
• Corporate monitors: taking corporate cooperation to the next level reprinted from Corporate Counselor (pdf, 106kb)

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, 1.6mb)
• Fraud risk (pdf, 344kb)
• Investigations (pdf, 553.7kb)  
• Program performance (pdf, 1.6mb)
• Risk assessment (pdf, 489.4kb)
• Information management (pdf, 144kb)