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Written protocols for compliance

Tom Fox | September 17, 2017

Written protocols are the foundation upon which an effective compliance program is built. Written protocols consist of a Code of Conduct, policies and procedures, and internal controls. They are inter-related and form the backbone of any best practices compliance program.

Code of Conduct

The substance of your Code of Conduct should be tailored to your company’s culture, and to its industry and corporate identity. It should provide a mechanism by which employees who are trying to do the right thing in the compliance and business ethics arena can do so. The Code of Conduct can be used as a basis for employee review and evaluation. It should certainly be invoked if there is a violation. The Code needs to be written in plain English and translated into other languages as necessary so that all applicable persons can understand it.

Policies, Procedures, and Controls

The written policies and procedures...

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