Summary EHM2 Task 3 COE and Legal Responsibility

EHM2 Task 3 COE and Legal Responsibility 1




C206 Task 3 Code of Ethics and Legal Responsibility Analysis




Western Governors University




EHM2 Task 3 COE and Legal Responsibility 2



Table of Contents

Code of Ethics and Legal Responsibility Analysis .................................................. 3

A. Analysis of CSR in Wells Fargo’s Code of Ethics ............................................. 3

A1. Wells Fargo COC and CSR .......................................................................... 3

A2: Compliance with Legal Mandates in Wells Fargo’s COC ............................... 4

Ramifications of Non-Compliance .............................................................................4

Policies to Ensure Legal and Ethical Behavior .............................................................5

A3. How Wells Fargo’s COC Facilitates an Ethical Culture.................................. 5

A4. Resources for Raising Ethical Concerns ...................................................... 6

, B. Factors an Employee Might Consider Before Reporting Conduct ..................... 6

B1. Internal Steps to Reporting ......................................................................... 7

B2. External Actions to Reporting ...................................................................... 8

C. Analyzing Whistleblower Payment under the Dodd-Frank Act ......................... 8

D. Changes Based on US Sentencing Guidelines................................................ 9

D1. Culpability Factors to Determine Fines ....................................................... 9

E. References ................................................................................................... 10