Question from M. Anderson:
For small companies, under 10 employees, is a Compliance Committee needed?
It’s a new year but we’re still focused on the same thing: Effective compliance. You too can show dominance in the world of compliance by staying one step ahead for 2019.
Reporting structure really matters in compliance. That’s why almost every CIA you read will mention reporting structure, specifically, that a compliance officer shouldn’t report to the general council or CFO. Compliance officers shouldn’t have a compliance/CFO role or a compliance/general council...