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Common Mistakes, Problems and Concerns Companies Face During Implementation and Maintenance of Corporate Compliance Programs

by Chester "Chet" J. Hosch
Burr & Forman LLP - Atlanta Office

April 1, 2014

Previously published on March 26, 2014

An effective corporate compliance program is an essential component of internal controls for uncovering and preventing ethical lapses and criminal violations and smart companies are prudently adopting these programs. However, it is not enough to merely implement the program. It is also essential the program is properly and competently administered and maintained. This article acknowledges broadly accepted fundamentals of any corporate compliance program, explores common mistakes made during implementation and maintenance of the programs, and concludes with recommendations based upon Department of Justice and Securities and Exchange Commission guidance.


The views expressed in this document are solely the views of the author and not Martindale-Hubbell. This document is intended for informational purposes only and is not legal advice or a substitute for consultation with a licensed legal professional in a particular case or circumstance.

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