vaulytica

Code of Conduct / Ethics review

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

Review your document — free → See a sample report

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 114 general checks that belong to any agreement: structure, parties and signatures, defined terms, cross-references, dates, amounts, and one-sided terms.

Often reviewed with

How it works

  1. Open vaulytica.com — no account, nothing to install.
  2. Drop your PDF or DOCX, or paste the text. The document type is detected and only the checks that belong to it run, inside your browser tab.
  3. Get a Word report in which every finding quotes the clause and cites the rule and source behind it — one of 1,946 checks across 286 document types.
Review your document — free →

More corporate & governance documents

Every document type →