Corporate Compliance

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.

Total Compliance

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 2002. (..here..)

And, see the IRI White Paper: “Sarbanes-Oxley: Complaints” (pdf) (..here..)


 
   
 

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