An integrated ethics and compliance solution designed to address training, whistleblower hotline and other compliance requirements – all optimized for the new regulatory environment.

The objective of the new Dodd-Frank rules and regulations is to encourage whistleblowers to come forward – and help surface information about violations of U.S. securities laws. However, many organizations are concerned that the Dodd-Frank Whistleblower Program will undermine their internal reporting processes by encouraging whistleblowers to go directly to the SEC – and effectively bypass their internal ethics hotline and other elements of their compliance program.
 
Global Compliance has established best practice recommendations that can help your organization maintain an effective compliance program – while still cooperating with the SEC. Our new Dodd-Frank SEC Whistleblower Program Optimizer customizes our proven and field-tested solutions to reflect the new regulatory environment. Partner with Global Compliance to keep you ethics and compliance program – including your internal reporting hotline solution – relevant and effective. 

• Our Ethical Leadership Group^TM will create a custom Program Assessment and Code of Conduct Review to assess and benchmark your existing ethics and compliance codes and policies to ensure proper focus on financial-related ethics and compliance standards.

• Expert Advisors will team to drive an Employee Organizational Culture Assessment to identify risk factors in your culture and high-risk employees that need targeted attention – such as fear of retaliation and likelihood to use internal reporting channels.

• We’ll optimize your AlertLine whistleblower hotline call-intake and case management solution to drive alerts, tracking, reporting and analysis of potential SEC whistleblower allegations – all integrated in our SaaS-based IntegriLink Portal. 

• And, our Code of Conduct training will facilitate employee understanding of your rules of engagement. Our Awareness campaigns have also been optimized for Dodd-Frank and include key messaging designed specifically to address relevant ethical and legal offenses and fear of retaliation.

Our flexible suite of services makes it easy to expand the scope of your Dodd Frank compliance program as your ethics and compliance needs evolve. Whether you select simply to optimize your existing hotline and case management solution to minimize risk from the Dodd-Frank Act and the SEC Whistleblower Program – or opt for a complete assessment of your ethics and compliance program, Global Compliance is your partner.