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2020 ETHICS & COMPLIANCE PROGRAM EFFECTIVENESS REPORT

CONFRONTING THE ROOT CAUSES OF MISCONDUCT

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Discoveries from the Report

The 2020 Ethics & Compliance Program Effectiveness Report is based in part on a survey of 500 ethics, compliance, and legal executives and experts around the world conducted during the second half of 2019.

The research and survey results behind this report affirm that the most important factor in preventing misconduct is a culture based on integrity, accountability, and transparency. Only then can an organization safely assume that its policies, rules, and procedures are being followed effectively. In this report, you'll learn how effective programs address:

Core Values

In effective organizations, values are “in the drinking water,” as one chief ethics and compliance officer (CECO) remarked, not just on the website.

Leadership

Leaders at all levels model values-based behaviors and bring to life the organization’s Code of Conduct and policies. Ethics and compliance isn’t just left to the lawyers—it’s everyone’s responsibility.

risk areas

High-impact programs use audits, regular evaluation of their effectiveness, and root cause analysis when misconduct occurs to ensure they aren’t on “cruise control.” They also integrate the results of self-scrutiny into their risk mitigation processes going forward.

Overall, high-performing programs go beyond the minimum required by law, regulation, or procedures and ask their employees to live their values, not merely follow rules.

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2020 Ethics & Compliance Program Effectiveness Report