Dodd-Frank Compliance: Raising the Bar on Issue Management Programs
2 February 2012
With the Dodd-Frank legislation having gone into effect in 2011, it is more important than ever to have a highly effective process for receiving and handling reports of wrongdoing. The Dodd-Frank Act included a whistleblower provision whereby a potentially substantial reward could be paid to employees who report issues directly to the Securities and Exchange Commission. Clearly, it is in an organization's best interest to know about problems as early as possible, so that appropriate action can be taken to correct issues. Compliance and ethics professionals now must raise the bar, making it even more convenient and inviting for employees to report problems internally, and there are a number of specific related steps which are advised.
Join Alice Peterson and Andrea Falcione, VP Advisory Services and Chief Ethics Officer for SAI Global Compliance, as they discuss new best practices in managing inquiry intake and resolution processes.
Read Dodd-Frank Compliance & Whistleblower Program Management: Processes to Enhance Your Program and Promote Issue Reporting
Learn more about SAI Global's hotline solution. Or contact us for a demo.
