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Corporate Compliance Programs


Employee and Agent Code of Conduct - It is imperative that an organization has established standards and procedures to be followed by its employees and agents. Such policies must be documented in writing and be readily available to all within the organization.

Employee and Agent Hot Line - It is essential that an organization have in place a system whereby employees and agents have the ability to report abuses and misconduct without fear of retribution.

Training Program - Each organization must have a formalized educational program in place for its employees and agents. There also must be visible notifications that explain policies and procedures of acceptable behavior.

Compliance Officer - Each organization must specify a high-ranking individual within the organization and empower that person with oversight and enforcement authority to carry out disciplinary procedures in a timely fashion.

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