Responding to Detected Offenses and Developing Corrective Action Initiatives: Element 7
One of the most important aspects of an effective compliance program is making corrections to the systems or processes of the organization when something does go bump in the night. The Department of Justice, in its March 2023 Evaluation of Corporate Compliance Programs document specifically addresses this essential element. As stated by the DOJ “One […]
Effective Lines of Communication with the Compliance Officer and Disclosure Program: Element 6
The age-old question of “if a tree falls in the forest and no one is there, does it make a sound?” may not seem applicable to compliance but I assure you it is. If staff report a compliance issue and no one hears them, why even take the time to make the report? One of […]