ST0464DOJDOJ

ST0464

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

Plain-language summary

What it actually means.

Plain-language summary forthcoming. Source text below.

Source text

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

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