• How is corporate governance managed across the company (including, but not limited to: regular staff meetings, internal controls, code of ethics)?
• How is the composition of the board determined? Which committees, if any, exist? How often are board meetings held, and are they fully minuted?
• Has any senior manager or board member ever been, or is, under investigation by law enforcement or regulatory authorities?
• Does the board reflect the company’s approach to diversity and inclusion?
• Are there independent board members (or is this planned for the future)?
• What is your approach to overall business ethics? e.g., are there types of clients you wouldn't work with or sectors you wouldn't do business with?
• Does the company have any exposure to the risk of negative publicity, reputational damages, legal intervention, or penalties from legal and regulatory violations, corruption, privacy infringement or anti-competitive behavior? This is becoming a specific consideration for AI and how information is gathered to train the models.
• Will the company consider developing policies covering the corporate code of ethics, business conduct, anti-bribery, anti-corruption, and/or whistleblowing? Is there a person in the company who is nominated to handle all harassment complaints? In larger companies - do you have an anonymous mechanism to collect complaints or will you consider adopting one?
• Do you apply anti harassment and anti bias training to your team on a regular basis?
• How often is ESG discussed as part of your company’s board agenda, and is there sufficient oversight?
• Do you discuss at management and board level what are the potential risks and opportunities associated with climate change? Do you have a plan in place to tackle risks?