Implement What You Know with Confidence
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 your 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.
Chapter 10 of The Worst-Case Scenario Survival Guide for Compliance Professionals
Ensure your internal reporting system passes the scrutiny of both regulators and employees. Review the 7 key requirements for a robust internal incident management system with Tom Fox.
Chapter 10 of The Worst-Case Scenario Survival Guide for Compliance Professionals
Ensure your internal reporting system passes the scrutiny of both regulators and employees. Review the 7 key requirements for a robust internal incident management system with Tom Fox.
7. Have an Escalation Process
For very serious matters reported internally (and it does happen), an escalation protocol should be in place. Get the report to those who can direct the investigation and be sure to protect the privilege. Even in situations of high significance, you should endeavor to keep the whistleblower informed and protected.
Create and implement your investigation protocol before an investigation is needed.
Illustration by Dex Novak
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