2018 Deep Dive into Compliance Details Series 2 of 2: Communication, Internal Monitoring, Disciplinary Guidelines & Corrective Actions

June 28, 2018 @ 9:00 am – 10:30 am

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This session will focus on the remaining four elements of an effective compliance program:

  • Developing effective lines of communication
  • Internal monitoring and auditing
  • Enforcing standards through well-publicized disciplinary guidelines
  • Promptly responding to offenses and taking corrective action

The webinar will also address measurement options and tips for dealing with oversights. Do you have effective compliance protocols? What reporting mechanism is used and is it anonymous? Is the scope of the compliance risk assessment broad enough? Does it drive internal monitoring and auditing? What type of investigative process has been established and implemented? How are corrective action plans developed and documented? Attend this two-part series to ensure you understand the essential elements of an effective compliance program.