Code of Conduct for Service Providers

Code of Conduct for Service Providers2018-09-14T07:56:46+00:00

The Steering Committee of the Compliance Pro Register confirms that applications of service providers, provided they have expertise in compliance consulting and advising, and that they actively support the Compliance Pro Register‘s work, can be approved for the Compliance Pro Register. It is precisely that expertise that the Steering Committee members see as a true added value for the realization of the initiative’s goals.

Service providers within the meaning of this Code of Conduct are individuals and employees of companies that provide products and services that support compliance. These include in particular business consultants, auditors, lawyers, IT service providers and providers of software tools. The employees of companies offering these products and services as well as other individuals can be approved for the Compliance Pro Register.

  1. Service providers should get actively involved and through their cooperation help preparing the activities.
  2. When applying for the Compliance Pro Register, service providers have to provide appropriate expertise in person if this is not already known to the Steering Committee. Example: one sales executive of a company that provides IT services that support compliance without a personal experience in the field of compliance will not be approved.
  3. By applying for the Compliance Pro Register, service providers recognize the present “Compliance Pro Register’s Code of Conduct for Service Providers” as binding.
  4. The members of the Steering Committee expect the service providers to actively support discussions through their own project experience or lectures, and to enrich the activities by (co-)organizing or supporting different types of knowledge sharing sessions and working groups.
  5. A commercial use of any of the communication channels, activities and working groups issued from the Compliance Pro Register’s initiative, or which could recognizably be serving only to passively gather information, will not be tolerated.
  6. Service providers are not allowed to use the Compliance Pro Register to actively acquire jobs and assignments. These include, among others:
    1. targeting members for the purpose of marketing / advertising using the Compliance Pro Register or referring to the Compliance Pro Register;
    2. directly sending company presentations to other compliance professionals when the only contact has been through the Compliance Pro Register;
    3. the distribution of gifts or advertising material without the prior agreement of the Steering committee;
    4. distributing business cards without solicitation;
    5. the use of the name “Compliance Pro Register” or “compliancepro.be” to achieve goals that do not serve the purposes and objectives of the initiative;
    6. the use of contact details accessible only through the Compliance Pro Register’s activities, communications or other supports for the purpose of corporate public relations;
    7. any other form of undesirable advertising even if not explicitly mentioned here.
  7. The strictest observance of each and all applicable professional and legal requirements.
  8. In any committees and working groups, the number of service providers should be limited to maximum the half in order to ensure both interdisciplinary exchange and the contribution of company representatives.
  9. Work results from working groups or other sessions may only be used by service providers if they have actively participated in the working group or session.
  10. Any document created or used within any of the activities and working groups issued from the Compliance Pro Register’s initiative shall be marked accordingly. Insofar these would be used in another context, e.g. by service providers, the authorship is to be cited correctly. Should content be transferred, the source must be marked according to the requirements of scientific work.

A violation of the “Compliance Pro Register’s Code of Conduct for Service Providers” such as active promotion or acquisition efforts towards compliance professionals admitted in the Compliance Pro Register may result in exclusion. This will be decided upon by the Steering committee.

Compliance professionals admitted in the Compliance Pro Register as well as any participant to any of the activities and working groups issued from the Compliance Pro Register’s initiative are invited to inform the Steering committee about any breach when they are aware of.

 

The text of this code has been freely adapted of the “DICO Beraterkodex” of DICO, the German Institute for Compliance, with its permission