Corporate Compliance, Ltd.
Q: What Compliance Mechanisms Exist?
A: The following compliance mechanisms
correspond to each of the "7 Steps"
toward due diligence in implementing
an effective corporate compliance program:

Code of Conduct:
A statement of corporate management philosophy.
Compliance Officers and Compliance Committees.
Screening Applicants: Verification and
background checks. Monitor current employees.
Code of Conduct. Compliance Training.
Ethics Training.
Compliance Auditing: Risk assessment inventory;
Forensic accounting examinations;
Neutral, independent, confidential,
external "HOT LINE" without fear
of retribution; Ombuds office.
Establish disciplinary system to include
types and grounds of disciplinary action.
Publish disciplinary decisions if appropriate.
Program assessment and modification after
an offense has been detected.
Identification of deficiencies.




Email Us
Corporate Compliance, Ltd.
152 Kentview Drive
Carmel, NY 10512
Telephone: (845)225-6822
Fax: (845)225-3930

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Text copyright 1997 by William J. Richmond and Michele C. Petitt. Graphics copyright March 1997 by Michele C. Petitt and the Village Web Smiths. The Fraud Detector is a Trademark of Corporate Compliance, Ltd. The Anvil and Keyboard Logo is a Trademark of The Village Web Smiths.
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The contents of this web site are provided for informational purposes only and are not intended to constitute legal advice. Please consult a professional for assistance with your particular situation.