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The Compliance Officer and Compliance Committee

Elements of an Effective Compliance and Ethics Program
The Second Element: The Compliance Officer and Compliance Committee

The second essential element of an an effective compliance and ethics program is the Compliance Officer and Compliance Committee. The designation of a Compliance Officer serves as a focal point for compliance activities, and ensuring that this person has appropriate authority is critical to the success of the compliance program.

“Is the (compliance) program adequately resourced and empowered to function effectively?”




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Policies and Procedures and the Code of Conduct

Elements of an Effective Compliance and Ethics Program
The First Element: Policies and Procedures and the Code of Conduct

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How Does your Compliance and Ethics Program Measure Up?

 

How Does your Compliance and Ethics Program Measure Up?

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