Who Does The Corporate Compliance Officer Report To

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Who Does Your Chief Compliance Officer Report To? The ...

https://fcpablog.com/2010/06/14/who-does-your-chief-compliance-officer-report-to/

Jun 14, 2010 · Susan Ponce, Senior Vice President and Chief Ethics and Compliance Officer responded, “At Halliburton, the Chief Ethics and Compliance Officer reports directly to the company’s Board of Directors, advising both the Audit Committee and the full Board on all matters relating to legal compliance issues.

Under FCPA, Who Should a Chief Compliance Officer Report ...

https://www.jdsupra.com/legalnews/under-fcpa-who-should-a-chief-complianc-67232/

Jun 16, 2010 · There is an ongoing debate in the compliance arena as to whom a Chief Compliance Officer (CCO) should report. Should the CCO report to the Board of Directors or appropriate Board committee such ...

The Practice The Chief Compliance Officer

https://thepractice.law.harvard.edu/article/the-chief-compliance-officer/

Historically, in large publicly traded corporations, the compliance and ethics function was overseen by the chief legal officer (CLO) of the company (which could be the CLO or the GC). Often, the compliance function reported to the GC, and sometimes the GC simultaneously served in the CCO role. And this often remains true today.

Chief Compliance Officer (CCO)

https://chief-compliance-officer.org/

The CCO must report directly to the Chief Executive Officer. He must also inform the Board about important issues and material violations. These are some of the Chief Compliance Officer's responsibilities: - Defining the necessary level of knowledge on existing and emerging regulatory compliance requirements across the organization.

The role of a compliance officer

https://www.robertwalters.us/blog/the-role-of-a-compliance-officer.html

The role of a compliance officer, sometimes called a compliance manager, is to make sure that a company is conducting its business in full compliance with all national and international laws and regulations that pertain to its particular industry, as well as professional standards, accepted business practices, and internal standards.

Compliance Officer Definition

https://www.investopedia.com/terms/c/compliance-officer.asp

Oct 01, 2020 · Compliance officers in other sectors have the opportunity to complete the Certified Compliance and Ethics Professional Program (CCEP) through the Society of Corporate Compliance and Ethics (SCCE).

More Compliance Departments Reporting Directly to the CEO ...

https://www.complianceweek.com/more-compliance-departments-reporting-directly-to-the-ceo/3815.article

Nov 11, 2013 · More Compliance Departments Reporting Directly to the CEO. There's little doubt that the compliance officer is becoming a vital part of the senior management team at most large companies, but exactly where the compliance function should sit within the company continues to be a subject of great debate. Since the compliance function involves managing legal and regulatory risks, many companies …

Compliance Officers: What They Do and Why They're in ...

https://www.roberthalf.com/blog/salaries-and-skills/compliance-officers-what-they-do-and-why-theyre-in-demand

Oct 10, 2019 · Compliance officers also need to make sure that employees are following internal compliance policies. Along with assessing financial risks and creating a game plan to handle those potential issues, compliance officers provide regular reports on the effectiveness of a business’s compliance measures.

Revisiting Compliance Program Reporting Relationships ...

https://clsbluesky.law.columbia.edu/2019/07/05/revisiting-compliance-program-reporting-relationships/

Jul 05, 2019 · It should be noted that with regulatory settlements that are the byproduct of allegations of fraud and significant compliance program weakness, the government will often insist on the appointment of a compliance officer who shall report to the CEO and shall not …

Should Compliance Report to the General Counsel?

https://assets.corporatecompliance.org/portals/1/PDF/resources/surveys/908_0_908_0_2013-compliance-gen-counsel-survey-report.pdf

the reporting lines of the compliance officer. Driving the con-versation have been several settlements in which enforcement authorities have specifically required that compliance report to corporate leadership rather than the general counsel’s office. In addition, many perceive there to …

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