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Hotline Reports to Compliance Committee

By Marta Kennedy posted 06-12-2009 07:50 AM

  

I am looking for articles/guidance regarding the following;  Information is appreciated.

1.  How much information should the compliance committee have regarding a potential whistleblower case?
2.  Should details or summary of "hotline" reports be communicate to the Board of Directors?
3.  And lastly, outside of the records/investigation kept by the Compliance Officer, should details or resolution of the investigations be documented in annual reports reviewed by the Compliance Committee prior to sending to the Board of Directors.

Thank you in advance.

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