New Guidance: Compliance Risk Management – Applying the COSO ERM Framework

November 11, 2020

Published: COSO

Companies are taking a closer look at how to effectively manage and mitigate compliance risks, especially at a time when many compliance programs are under the microscope from regulators while also dealing with the effects of a global pandemic. This new publication, Compliance Risk Management: Applying the COSO ERM Framework, describes the application of the Enterprise Risk Management—Integrating with Strategy and Performance (ERM Framework) to the management of compliance risks. The guidance, commissioned by COSO and authored by the Society of Corporate Compliance and Ethics & Health Care Compliance Association (SCCE & HCCA), describes the characteristics of effective compliance and ethics (C&E) programs associated with each of the five components and 20 underlying principles of the COSO ERM Framework. A significant aspect of ERM is its focus on creating, preserving, and realizing value. Effective C&E programs contribute to each of these objectives.

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