Regulatory compliance is no longer an option to be implemented by only mega corporations. Any size enterprise is fair game to regulatory scrutiny, which renders the economic and reputational risks of noncompliance too costly at every level. But what elements comprise a strong compliance program and how many of those elements does your compliance program include?
Below we outline 12 key elements of a rock-solid compliance program. While this list is drawn from our experience in the commodities markets (CFTC, FERC and other regulators), we think these elements apply across many industries, regardless of regulator or business type. Still, we acknowledge that each enterprise is potentially unique and different regulators have different priorities. Nevertheless, we invite you to peruse our list to see how your company compares.
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