Transforming The Compliance EcosystemOrchid Advisors TM

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Compliance Program StrategyA business can change, but the government expectations for compliance and ethics don’t. Align your evolving business to exceed regulatory expectations.

Our compliance program strategy wasn’t taken from a textbook, in fact, we wrote the textbook. It was built under the eyes of the Department of Justice and SEC amidst the largest of corporate compliance investigations. Can your independent consultant match those qualifications?

What if you came to work tomorrow and found your major supplier was shut down by the ATF?What if a distant channel partner committed a crime, implicating your organizationand stopping sales to key markets?Do you know when your next inspection is? Do you even know who your inspectors are?Do you know what steps you should take to build those relationships?

Transformed Compliance Program Strategy and Established Client as Leader in ATF Compliance

We fostered a transparent compliance culture to significantly alter the way one client was viewed by its regulators. The effort included a shift from reactive to proactive compliance management whereby professional reporting relationships were established with local inspectors. Respect was gained due to the client’s mature governance strategy — that is, to persistently monitor and report its own compliance status as part of its quarterly activities. The Result: A regulator that recognized executive management is committed to compli-ance.

The Orchid Difference

Executive Considerations

Indicators of NeedYou’re being investigated or inspected.Your executives are persistently surprised with new violations driving ongoing firefighting.Your products, suppliers, and distribution network are changing.You don’t know the 7 required areas of the U.S. Section 8B2.1 ‘Effective Compliance & EthicsProgram’ requirements.You don’t have a transparent, professional relationship with your regulators.

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Proven Compliance Transformation

Synchronization between your changing ecosystem and the regulatory environment so they don’tevolve separately.Implementation of a full-scale compliance program that meets Federal expectations.Creation of an ongoing plan of action for engaging Federal and State regulators.

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Our Compliance Program Strategy services provide you with:Deliverables

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Transforming The Compliance EcosystemOrchid Advisors TM

TM

222 Pitkin Street East Hartford, CT 06108T: 860-308-6315 F: 800-507-4409 www.orchidadvisors.com

Confidential and Proprietary © 2010-2014 Orchid Advisors LLC

Too many companies have a myopic vision of compliance and that’s what gets them into trouble. Compliance isn’t a department, it is a way of conducting business, strategically. Your business relies on compliance and visibility throughout your ecosystem – your suppliers, licensees, distributors, and other partners. And, your relationship with the Federal and State government are what you make of it. How you interact with your regula-tors is up to you – but there is strategy involved. Some draw a hard line and limit transparency while others are an open book. Both have their advantages. Defining your approaches and knowing the positives and negatives of each are key to navigating complex regulations.

Section 8B2.1 of the U.S. Federal Sentencing Guidelines defines the criteria for an effective compliance and ethics program. Core to those guidelines is the differentiation between ‘being compliant’ and managing a ‘compliance program.’ Orchid’s Compliance FrameworkTM transcends compliance with every regulation from ATF compliance, State Firearm compliance, Import / Export compliance, Anti-Corruption/Anti-Bribery or any other regulation. Carefully managed transparency yields trust in your management abilities and how regulators view your tone towards compliance.

Service Description

About Orchid AdvisorsOrchid Advisors is a management consultancy that drives operational effectiveness, profitability and regulatory compliance. Unlike some consulting firms, our unique methodology provides process, technology and internal control solutions that achieve all three objectives at once. Our consultants derive their expertise from years served in Fortune 500, Federal Government and Global Business Consulting environments. Orchid Advisors is endorsed by the NSSF as a compliance information provider to its members. Orchid Advisors is an SAP Partner.

For more information, see www.orchidadvisors.com.

Suppliers Customers

Re-define Cultural Norms, Policies and Expectations

Establish StructuredRoles, Ownership

and KPIs

Certify and Deliver Knowledge Throughout Your

Ecosystem

CulturalTransformation

Process & TechnologyEnablement

Drive Repeatability with Lean Six Sigma and Internal

Controls

Integrate ERP, CRMand Advanced Technologies

Control ThroughChange and Project

Management

Sustained Monitoring& Improvement

Measure With Audits, Industry Benchmarking

and Data Analytics

Govern with Executive Dashboards

Stay In-Tune withIndustry, Legal and

Political Trends

Compliance ProgramStrategy

Map Your EcosystemAnd Regulatory

Environment

Build Your Compliance Vision and Integrate

with Business Strategy

Map Your Federaland State Relationship

Strategy

Transforming The Compliance EcosystemOrchid AdvisorsTM

TM