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A Robust Whistleblowing Program is an Essential Component of a Comprehensive Compliance Program

October 14, 2019 | Compliance

Whistleblowing is in the news.   Current events are a timely reminder of the importance of having in place sound and up-to-date policies, procedures and programs for whistleblowing.  A number of prudential regulators, such as federal and state bank regulators, and the Securities and Exchange Commission, all include review of a company’s whistleblowing program as standard in periodic examinations or inspections.

A robust whistleblowing program is an essential component of a comprehensive compliance program for financial institutions and other large corporations.  … Read More

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