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Creating a Speak-Up Culture

Joel Katz | April 2, 2013

An important gauge of the success of any company's compliance training and communications program is whether the company's efforts have created an environment where employees readily raise questions and concerns about the way the company is conducting business.

Since the passage of the Sarbanes-Oxley Act in 2002, much has been written about the different avenues companies should take to ensure that potential problems are being escalated internally. With the passage of the Dodd-Frank Act in 2010 and its whistleblower bounty provisions, working to ensure that employees are escalating issues internally has become more important than ever before.

We live in a complex world with many laws and regulations that can complicate the job of compliance officers. Finding ways to encourage a “speak up” culture, however, is an exercise that should be relatively easy, provided...

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