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Tag: hotline

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 […]

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Midwest Compliance Associates, LLC is not a law firm and nothing on this web site is intended to be, nor should it be considered to be, legal advice. Should you need legal advice you are encouraged to consult with an attorney directly.