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Code of Conduct / Ethics review

Code of business conduct / ethics under NYSE 303A / Nasdaq 5610 / SOX § 406.

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What it checks

Scope — applies to directors, officers, employees

Code must state it applies to directors, officers, and employees.

Critical · POL-001

SOX § 406 financial-officer ethics elements

Code must address SOX § 406 elements for senior financial officers — honest / ethical conduct, accurate disclosures, compliance with law.

Critical · POL-002

Waiver disclosure mechanism

Code must address how waivers are granted and disclosed (NYSE / Nasdaq + SOX).

Critical · POL-003

Reporting violations + non-retaliation

Code must establish a confidential reporting channel and prohibit retaliation.

Critical · POL-004

Compliance with laws + regulations

Code must require compliance with applicable laws and regulations.

Critical · POL-005

Non-retaliation prohibition + SOX / Dodd-Frank protections

Policy must prohibit retaliation and reference SOX § 806 + Dodd-Frank § 922 protections.

Critical · POL-024

NLRA § 7 — overbroad social-media restriction flagged

Social-media policy must not broadly restrict employee discussion of wages / working conditions (NLRA § 7).

Warning · POL-042

Every run also applies 104 general checks that belong to any agreement: structure, parties and signatures, defined terms, cross-references, dates, amounts, and one-sided terms.

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