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Compliance Enforcement Trends
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I GLASS Method™ - Compliance Enforcement Trends
 

Companies require more than written compliance programs to
avoid harsher penalties.


     
  Companies need to ensure that compliance policy is translated
into compliant behavior in the field
     
  Companies need to monitor behavior in the field and demonstrate
ability to respond to issues and violations
     
Compliance programs deemed “ineffective” by government prosecutors:
     
  Become a “red flag” for DOJ and SEC investigations
     
  Will be fined at higher levels for compliance violations
   
Individuals are being prosecuted for civil and criminal violations:
     
  Board Members and other Senior Leaders
     
  District and Regional Managers
     
  Sales Professionals
     

Recent CIAs have required Board Members and Senior Mangers
to certify that they have taken all steps necessary to ensure
compliance programs are effective

     
  How does a corporation know that it has an effective
compliance program?
 
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