Hands holding virtual icons for ethics and compliance

Ethics & Compliance in Equity Compensation Series

Be a Champion for Ethical Equity Policies

Compensation and equity professionals have a duty to engage in compliant practices and ensure ethical standards. But when “gray” areas, unexpected information, and uninformed decisions emerge, how do you mitigate risk and steer things back on track? Learn how to conduct an equity policy review with compliance and ethics at top of mind, plus effective communications, risk assessments strategies, disciplinary actions, and resources to deploy when ethical questions arise.


Ideal Development Opportunity For

  • Those seeking to establish and maintain internal controls.
  • Leaders wanting to develop ethical decision-making practices.
  • Professionals who wish to communicate expectations and create sustainable processes.

Enroll Today

Already Enrolled?
Access Program Here

Computer Icon



Calendar Icon

On-demand to fit your schedule

Document Icon

Supplemental materials to further dive into topics

Clipboard - Questionnaire

Quizzes to test your skills and apply your knowledge


Certificate awarded upon completion

On-Demand, 2-Course Series

Course 1
Equitable Equity

Are your grant practices bias-free? Are you sure? Find out how to evaluate and build equity policies that foster equality and fairness while meeting key business objectives.

View Course 1 Modules

Module 1

How to Size Grant Equitably
Understand how different approaches to grant sizing and distribution can address unconscious bias and ensure an equitable grant practice.

Module 2

Assessing How Your Grant Practices Impact Outcomes 

Learn key ways to assess how your operational practices impact your organization’s DEI outcomes, and how to plan for unexpected scenarios. 


Module 3

How to Identify Your Equality Blind Spots 

Learn why and how to identify potential blind spots in your grant practices that don’t support fairness for all.

Course 2
Critical Financial Controls for Equity Plans

Develop an understanding of the most common and critical Sarbanes-Oxley (SOX) controls within equity compensation. From the areas of your company that are considered key players in the creation of your equity plan SOX controls to tips and best practices that your auditors will love to see, this series will give you a comprehensive overview of everything equity comp pros need to know about SOX controls.

View Course 2 Modules

Module 1

Planning & Communication

The best SOX controls start with precise planning and communication around the entire equity plan process. Discover how model companies create an effective financial and accounting control environment by working with all the stakeholders responsible for the stock plan life cycle.


Module 2

General Financial Controls

Dive into SOX Section 404 which requires that management and external auditors review and report on the adequacy of internal financial reporting controls annually. Explore the most critical controls in equity compensation from financial expense calculations to SEC reporting and more.


Module 3

Expensing Tips & Auditable Schedules

Learn the most critical and complex issues around ASC 718—the primary standard that governs accounting and financial reporting for equity plans—plus what your auditors are looking for to ensure the best accounting and SOX control practices.


  • Emily Cervino, CEP, NDEF / Head of Industry Relationships and Thought Leadership, Fidelity 

  • Ruth Doyle, CEP / Manager, Certent, Inc.

  • Ingrid Freire, CEP / Vice President of Total Rewards, Guardant Health  

  • Mark Miller, Principal, Deloitte

  • Steve Tamsula, CEP / former Director, Aon Equity Services 

  • Laura Verri, CEP / Senior Director, Armanino

Enrollment Rates

All registrations are non-refundable.



Enroll Today



Enroll Today

Continuing Education

Certified Equity Professionals (CEPs) can earn continuing education credits for session recordings.

Maximum Credit: 3 hours (1 credit per module)

Additional Requirements: Attendees must keep their own records of their attendance, including the specific sessions they attended, so they can report this information to the CEP Institute when required.

Please contact naspp@naspp.com with any comments and concerns about the course.