Compliance and Corporate Intelligence
Most corporations, public and private, strive toward best business
practices and social responsibility, with goals aimed at bolstering
shareholder value—and comfort.
In a global regulated environment, occasionally, regulatory parameters
are exceeded sometimes due to inadvertence, negligence, or inadequate
policy and procedures, and sometimes due to decision making intended
to suit particular purposes.
Compliance involves a proper balance among the company’s goals,
practices, cultures, self-perceptions, and underlying codes of conduct
and ethics, along with evolving governmental guidelines, including
those stemming from the Sarbanes-Oxley Act of 2002.
IRI’s Corporate Intelligence specialists are well-versed in helping
compliance management and audit committees recognize issues and prioritize
responses to evolving compliance needs.
Each company will continue to rely upon guidance from its outside
counsel and auditors. At the same time, each company will need to rely upon outside
advisors such as IRI who can provide certain administrative assistance while
attesting to policy reformation and the establishment of new procedures.
IRI has a comprehensive perspective: empathy with corporate objectives,
understanding of domestic and international practices, awareness of existing and new laws—and importantly, an applications
knowledge-base gained via a spectrum of corporate compliance issues.
IRI specialists are not just advisors—many IRI specialists are experienced
compliance officers and audit committee members!
Total Compliance Protocols
IRI specialists help clients:
- Become more aware of existing and new laws and evolving regulations—in
conformity with the “letter of the law” balanced with the “spirit
of the law”
- Develop policy and procedures mandated by new rules
- Evaluate existing policy and procedures with respect to suitability
- Coordinate with in-house and external advisors including compliance officers,
investor relations, and public relations as directed
- Conduct follow-up with respect to complaints—to screen, validate,
corroborate, or to invalidate spurious or malicious communications
For further background, see the Sarbanes-Oxley Act of
And, see the IRI White Paper: “Sarbanes-Oxley: Complaints” (pdf)