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Bid Rigging

Bid rigging is a form of fraud in which a commercial contract is promised to one party even though, for the sake of appearance, several other parties also present a bid. This form of collusion is illegal in most countries. It is a form of price fixing and market allocation, often practised where contracts are determined by a call for bids, for example in the case of government construction contracts. Bid-rigging almost always results in economic harm to the agency which is seeking the bids, and to the public, who ultimately bear the costs as taxpayers or consumers.
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Transparency

Corporate transparency is the construct removing all barriers to —and facilitating — free and easy public access to corporate, political, and personal information and the laws, rules, social connivance, and processes that facilitate and protect those individuals and corporations who freely join, develop, and embellish the process.
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Deferred Prosecution Agreement

A deferred prosecution agreement (DPA) is a voluntary alternative to adjudication in which a prosecutor agrees to grant amnesty in exchange for the defendant agreeing to fulfill certain requirements.
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Board of Directors

A board of directors is a body of elected or appointed members who jointly oversee the activities of a company or organization. The body sometimes has a different name, such as board of trustees, board of governors, board of managers, or executive board. It is often simply referred to as "the board."
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Foreign Corrupt Practices Act

The Foreign Corrupt Practices Act of 1977 (FCPA) is a United States federal law known primarily for two of its main provisions, one that addresses accounting transparency requirements under the Securities Exchange Act of 1934 and another concerning bribery of foreign officials.
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Corporate Governance

Corporate governance is the set of processes, customs, policies, laws, and institutions affecting the way a corporation (or company) is directed, administered, or controlled. Corporate governance also includes the relationships among the many stakeholders involved and the goals for which the corporation is governed. The principal stakeholders are the shareholders, the board of directors, employees, customers, creditors, suppliers, and the community at large.
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International Organization for ...

The International Organization for Standardization, widely known as ISO, is an international standard-setting body composed of representatives from various national standards organizations. Founded in 1947, the organization promulgates worldwide proprietary industrial and commercial standards. It has its headquarters in Geneva, Switzerland. While ISO defines itself as a non-governmental organization, its ability to set standards that often become law, either through treaties or national standards, makes it more powerful than most non-governmental organizations. In practice, ISO acts as a consortium with strong links to governments.
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Anti-money Laundering

Anti-money laundering (AML) describes the controls that require financial institutions and other regulated entities to prevent or report actual or suspected money-laundering activities. Anti-money laundering regulations existed well before September 11, 2001, but came into special prominence globally after that date and the subsequent enactment of the USA Patriot Act. Today, all financial institutions that transact business in or through the United States are required to identify and report transactions of a suspicious nature to the financial intelligence unit in their respective country. For example, a bank must perform due diligence by verifying a customer's identity and monitor transactions for suspicious activity.

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International Financial ...

International Financial Reporting Standards (IFRS) are Standards, Interpretations and the Framework adopted by the International Accounting Standards Board (IASB).
IFRS are considered a "principles
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Corporate Social ...

Corporate Social Responsibility (CSR) is a form of corporate self-regulation integrated into a business model. Ideally, CSR policy would function as a built-in, self-regulating mechanism whereby business
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Kickbacks

A kickback is an official's share of misappropriated funds allocated from his or her organization to an organization involved in corrupt bidding. For example, if politician is in charge of choosing how to spend some public funds, he or she can give a contract to a company that is not the best bidder, or allocate more than they deserve. In this case, the company benefits and, in exchange for betraying the public, the official receives a kickback payment, which is a portion of the sum the company received. This sum itself may be all or a portion of the difference between the actual (inflated) payment to the company and the (lower) market-based price that would have been paid had the bidding been competitive.
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Investigation

An investigation must enforce standards; if someone calls a helpline with information, the office will launch an investigation (often secret, always controversial).

Things needed for an effective ethics and compliance program:
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Financial Disclosure

In many jurisdictions, corporations whose shareholders benefit from limited liability are required to publish annual financial statements and other data, so that creditors who do business with the corporation
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Whistleblower

A whistleblower is a person who raises a concern about wrongdoing occurring in an organization or body of people. Usually this person would be from that same organization. The revealed misconduct may be classified in many ways; for example, a violation of a law, rule, regulation and/or a direct threat to public interest, such as fraud, health/safety violations, and corruption. Whistleblowers may make their allegations internally (for example, to other people within the accused organization) or externally (to regulators, law enforcement agencies, to the media or to groups concerned with the issues).
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United States Sentencing ...

The United States Sentencing Commission is an independent agency in the judicial branch of
government. Its principal purposes are: (1) to establish sentencing policies and practices for the
federal courts, including guidelines to be consulted regarding the appropriate form and severity
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Securities and Exchange ...

The U.S. Securities and Exchange Commission (SEC) is a federal agency which holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation's stock and options exchanges, and other electronic securities markets in the U.S. In addition to the 1934 Act that created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes-Oxley Act of 2002 and other statutes.
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Risk Assessment

Risk assessment is a step in a risk management procedure. It is the determination of quantitative or qualitative value of risk related to a concrete situation and a recognized threat (also called hazard). Quantitative risk assessment requires calculations of two components of risk: R, the magnitude of the potential loss L, and the probability p, that the loss will occur.
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Enterprise Risk Management

Enterprise risk management (ERM) includes the methods and processes used by organizations to manage risks and seize opportunities related to the achievement of their objectives. ERM provides a framework
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False Claims Act

The False Claims Act (also called the "Lincoln Law") is an American federal law that allows people who are not affiliated with the government to file actions against federal contractors they accuse of
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Federal Acquisition Regulation

The Federal Acquisition Regulation (FAR) is the principal set of rules in the Federal Acquisition Regulation System. This system consists of sets of regulations issued by agencies of the Federal government
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