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Discover action-based tools that provide simple steps for program improvement or robust plans for new ways of doing business.
Your ethics and compliance program is an ecosystem of moving parts. New laws and regulations, new lines of business, new geographies, mergers and acquisitions become part of a growing enterprise that your compliance ecosystem must support.
Effective compliance programs are able to deftly navigate these complexities because they have built strong foundations that were developed with the nature of the compliance industry in mind.
This section will give you the expert advice and programmatic best practices to ensure the first steps you take to develop your program are in the right direction. Or if you program is more mature, these resources and insights will give you the necessary guidance to course correct and improve your program’s foundation at whichever stage it is in.
Compliance programs are the snowflakes of the business world - every company's is different with its own unique risk profile. What presents significant exposure for one organization can be negligible for another. The only way to know if your program is on the right track is to assess it periodically for both impact and effectiveness.
Boring, outdated, lackluster - their words not ours. Employee compliance training has a reputation for not resonating with or being applicable to those who have to complete it. This stigma detracts from the overall learning experience and effects what employees actually retain. What can increased engagement with compliance expectations do for your organization?
Resolving conflicts of interest is essential to protecting your organization from reputational damage. Leaving a conflict unresolved can reduce the trust your organization can warrant and ultimately lead to individuals acting in their best interests. Listen to compliance industry experts to learn why reducing conflicts of interest should be a priority for your program.
The United States Securities and Exchange Commission reports nearly 70% of recent Foreign Corrupt Practices Act (FCPA) investigations were related to the actions of third-party engagements. Learn how these outside organizations are not as far separated as you might think.
Providing a comprehensive, trusting, and engaging process for employees to report unethical behavior will encourage the speak-up culture within your organization. A robust incident management system is a key function of an effective reporting process for all compliance programs. Learn how case management software and a whistleblower hotline can help support this initiative.
A strong training program is the foundation of an open, ethical and productive culture. It can help prevent misconduct, improve employee engagement and trust, strengthen alignment around a set of core values, mitigate risk and promote adherence to compliance objectives.
These are simple steps you can take today to create an effective ethics and compliance program, boost program awareness and connect more with employees and colleagues.
Chapter 3 of the Worst-Case Scenario Survival Guide for Compliance Professionals
A healthy tone from the top is a cornerstone of strong corporate culture. Typically, the tone trickles down from a team of executives but sometimes the tone emanates from a single individual. This can be dangerous, particularly when that individual is setting the wrong tone.
A strong ethics and compliance program improves organizational culture, protects corporate reputation and enhances employee engagement. To ensure compliance programs meet ongoing best practices, assessments and regular reviews are necessary, valuable and expected by numerous internal and external parties, including government agencies.
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