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An integrated compliance solution

The Regulatory & Ethical compliance survey

An integrated compliance solutionThe Regulatory & Ethical compliance survey: an integrated compliance solution is the first in an annual series of surveys designed to gauge the challenges faced by compliance functions.

An integrated compliance solution

With the introduction of recent enhanced regulations, such as the UK Bribery Act 2010 and the rapid rise in enforcement actions of existing regulations, such as competition law and the US Foreign Corrupt Practices Act, combined with the challenge of dealing with a myriad regulations across a global footprint, the increased focus on acting in an ethical manner and the size of the fines imposed have propelled Regulatory & Ethical Compliance to the top of boardroom agendas.

The survey identified a number of interesting trends and challenges in the structure and operations of compliance functions, the organisations surveyed highlighted a real focus and appetite for change around the four areas outlined below:

  • Developing an Integrated approach to tackling compliance risks
  • Encouraging a cultural shift thought the organisation
  • Developing compliance monitoring and auditing mechanisms
  • Stakeholders demand for information

Key findings

  • 82% had only established their compliance function within the last five years.
  • 61% of organisations stated the importance of integration and stated that this will be the area that compliance officers will focus on over the next 12 months.
  • 30% of organisations surveyed listed improving ethical compliance within their organisation as one of the current priorities.
  • 45% of respondents conduct employee surveys and this now seems to be a well-established practice.
  • Nearly 80% of respondents considered their second line of defence as either embryonic or evolving.
  • 27% of the organisations surveyed currently use risk and control electronic tools, highlighting potential gains for compliance functions by expanding their use of IT tools to support compliance monitoring activities.

About the survey

The Regulatory & Ethical Compliance survey has been completed by over 50 organisations across the Energy & Resources, Manufacturing, Health & Life Sciences, Technology Media & Telecommunications and Consumer Business industries. The survey focuses on capturing the challenges facing Compliance Officers today as well identifying key trends for the future of compliance functions in an increasingly regulated environment



  • Tim Archer
    +44 20 7303 4484
  • Amr Mousa
    Senior Manager
    +44 20 7303 7292
  • Simon F Owen
    +44 121 695 583

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