Question

1. a, The investigative protocol outlines:

☐ the steps you will take to resolve a suspected problem.
☐ what types of issues will be investigated by compliance.
☐ how to select legal counsel.
☐ how to publish your compliance plan.

1. b, To further combat noncompliance, an important element of your compliance program must be:

☐ anonymity.
☐ meeting the staff to get familiar with everyone.
☐ open lines of communication.
☐ an open-door policy.

Answer 1

1.a. The investigative protocol outlines how to publish compliance plan.

1.b. To further combat non compliance, an important element of your compliance programme must be open lines of communication.