ST0028
How has the company responded to specific instances where compliance raised concerns? Have there been transactions or deals that were stopped, modified, or further scrutinized as a result of compliance concerns?
Source text
As written.
How has the company responded to specific instances where compliance raised concerns? Have there been transactions or deals that were stopped, modified, or further scrutinized as a result of compliance concerns?
Change history
When and why it changed.
Present in the original catalog
This standard has not changed since it was added.
Assessed by HEXDI
What HEXDI assesses.
- M12
1 — HANDLING VIOLATIONS
Program describes the system for reporting potential violations and instructs that all company employees and Senior Management will report…
- M12
3 — HANDLING VIOLATIONS
Program requires initial hire and regular employee training on how to recognize possible violations and how to report suspected violations.
- M12
2 — HANDLING VIOLATIONS
Remediation procedures address the treatment of unlawfully exported/imported items and/or technical information upon discovery of a…
- M12
1 — HANDLING VIOLATIONS
Program has procedures for investigations of suspected violations.
- M12
2 — HANDLING VIOLATIONS
Investigation procedures require and address timely assessment of each report of suspected violation.
- M12
3 — HANDLING VIOLATIONS
Investigation procedures explain how to resolve each report of suspected violation.
Related
Other DOJ standards.
- DOJ41 citations
ST1166
DoJ Evaluation of Corporate Compliance Programs
- DOJ25 citations
ST1160
DoJ Evaluation of Corporate Compliance Programs
- DOJ24 citations
ST1154
DoJ Evaluation of Corporate Compliance Programs
- DOJ22 citations
ST0535
Evaluation of Corporate Compliance Programs
- DOJ22 citations
ST1161
DoJ Evaluation of Corporate Compliance Programs
Source & revisions
- First mapped
- Jun 8, 2022
- Last updated
- Oct 28, 2026 (6d ago)
- Source
- Evaluation of Corporate Compliance Programs