Compliance & Ethics Program Diagnostic
Having a truly “effective compliance and ethics program” as set forth by the federal sentencing guidelines (FSG) will not only prevent misconduct, but will also aid in defending your organization in the unfortunate event of a compliance breakdown. This diagnostic assesses how your program stacks up against the seven “hallmarks” of a compliance program per the FSG, as well as reasonable and best practices of analogous companies, including:
- Standards and documentation
- High-level oversight
- Training and communications
- Reporting systems
- Incident management
- Enforcement and discipline
- Monitoring and auditing
- Leadership tone