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Frequently asked questions.
An effective compliance plan should include a training component, pursuant to which employees and contractors are periodically educated and trained on the various elements of the plan. Training should occur both when an employee or contractor is hired and periodically thereafter (e.g., every year or every six months).
The purpose of the question is to assess the ethical tone of both the individual and the organization. Generally speaking, the appropriate response should be that those who violate the company's code of conduct or compliance policies should be fired and, if their actions broke the law, criminally prosecuted.
A compliance program is a company's set of internal policies and procedures put into place in order to comply with laws, rules, and regulations or to uphold the business's reputation.
Compliance lays the foundation on which you build your company's reputation. Sometimes, all it takes is one compliance misstep and you've broken the trust it has taken years to build. By not following compliance regulations, you might even risk losing access to certain segments of your customer base.