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Stress Testing Your Compliance Programs - Dbriefs Poll Responses

Event Date: 2/6/12


Which of the following would be your highest concern in regard to the strength of your compliance program?
Votes Received: 2,086

Excessive pressure from unrealistic sales or performance expectations 14.5%
Inadequate “Tone at the Top” 14.5%
Inadequate training and communication on ethics and compliance 15.4%
Lack of defined roles, authority and accountability for ethics 17.0%
Potential for override of controls by management 17.2%
NA/Don’t know 21.4%

 

How effective is your organization’s compliance and ethics program?
Votes Received: 2,189

Optimized in effectiveness 6.1%
Effective 46.8%
Somewhat effective 27.8%
Ineffective, needs work 5.6%
Don’t have a program/Don’t know 13.7%


Which group do you think needs to make the biggest improvement to help your company’s compliance program?
Votes Received: 2,152

US employees outside of compliance, risk and internal audit 19.3%
Non-US employees outside of compliance, risk and internal audit 14.5%
Non-employee third parties (i.e. agents, vendors) 16.0%
Compliance, risk and internal audit professionals 14.5%
C-suite and board leaders 10.0%
NA/Don’t know 25.8%


Will your company focus more time and resources to improving its compliance program in 2012?
Votes Received: 1,976

Yes 57.7%
No 13.6%
NA/Don’t know 28.6%

 

About the online poll: Deloitte polled more than 1,975 business professionals from the financial services, consumer and industrial products, technology, media and telecommunications, and other industries during a recent webcast titled, “Stress Testing Your Compliance Program.”

Results are aggregated without inclusion of Deloitte viewer responses.

As used in this document, “Deloitte” means Deloitte LLP and its subsidiaries. Please see www.deloitte.com/us/about for a detailed description of the legal structure of Deloitte LLP and its subsidiaries. Certain services may not be available to attest clients under the rules and regulations of public accounting.

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