ST0464DOJDOJ

ST0464

Effectiveness of the Reporting Mechanism – How has the company assessed the seriousness of the allegations it received?

Source text

As written.

Effectiveness of the Reporting Mechanism – How has the company assessed the seriousness of the allegations it received?

Change history

Present in the original catalog

This standard has not changed since it was added.

Assessed by HEXDI

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.
M12
4 — HANDLING VIOLATIONS
Investigation procedures identify the situations in which formal internal investigations are required.
M12
5 — HANDLING VIOLATIONS
Investigation procedures require that only qualified personnel assess reports and conduct investigations of suspected violations.
M12
6 — HANDLING VIOLATIONS
Investigation procedures address when to retain outside counsel to investigate suspected violations.

Source & revisions