Hotlines

News & Analysis as of

FINRA’s Securities Helpline for Seniors™ Provides Guidance to Broker-Dealers

In April 2015, the Financial Industry Regulatory Authority (“FINRA”) launched its Securities Helpline for Seniors™ (the “Helpline”). The Helpline seeks to enhance investor protection by serving as a resource to seniors making...more

Myth-Busting: Outsourced Call Centers - The Truth About Quality and Customer Service When Call Centers Are Outsourced

Outsourced call centers have gotten a bad reputation, and for a good reason. In the early 2000’s, there was a widespread movement to outsource call centers to places like India and the Philippines, with disastrous...more

Friends With Benefits: The Opportunities for Compliance in Getting Cozier with Marketing

One of the most frequently visited topics in the compliance space is how to build, and defend, the case for compliance resources. It’s an agenda item or topic of focus in nearly every conference, webinar list, or resource...more

A New Program Provides Law Enforcement a Direct Line to Offer Domestic Violence Victims Immediate Help

October is Domestic Abuse Awareness Month and thanks to a new program, Orlando Police will now be able to call a new, dedicated hotline when they see a domestic abuse situation on the scene. The hotline will put victims in...more

FCC says blocking FCC-approved Wi-Fi hotspots is “patently illegal” and imposes $750,000 fine on Smart City.

Blocking Wi-Fi connections is “patently unlawful”. On August 18, 2015, the FCC announced a $750,000 civil penalty and formal Consent Decree with Smart City Holdings for blocking consumers’ personal Wi-Fi access at...more

Give & Take: The Case for a Better G&E Compliance Program

Part One: Setting The Foundation - Why Does G&E Matter? Tony Robbins once said, “Every problem is a gift—without problems we would not grow.” In the compliance arena, the reverse also applies, as many gifts can...more

8 Strategies for Compliance Risk Management: How to Fortify Your Efforts, Reduce Risk and Increase Confidence in Your Program

As a compliance practitioner, your goal is to design and oversee a program that’s comprehensive enough to mitigate risk, strong enough to address issues that occur (because they always can, and will) and robust enough to...more

7 Important Considerations for European Hotlines

As any organization that operates internationally knows, there are varying levels of data protection that are implemented from country to country. The idea is to share data in a manner that also protects personal privacy and...more

Benchmarking Your Hotline in 2015: How Does Your Data Measure Up?

Ethics officers agree—one of the most effective ways to measure your compliance program is by analyzing data from internal reporting systems. But how can you know what is good or bad without context? We compiled 2014...more

Ethics & Compliance Hotline FAQs: Top 5 Questions from the Hotline Benchmark Webinar Answered

During our recent webinar, we provided an in-depth tour through the findings of our 2015 Ethics & Compliance Hotline Benchmark Report. Webinar attendees asked a number of valuable questions on topics ranging from hotline best...more

Navex Global's 2015 Ethics and Compliance Hotline Benchmark Report

Experienced ethics officers will tell you that one of the most effective ethics and compliance program measurement tools they have is the data from their internal reporting systems. But how do you put that information into...more

Insights from the E.U.—Creating and Sustaining a Strong Organisational Culture

Earlier this month I had the opportunity to moderate three roundtables across Europe—in Copenhagen, Paris and London—where more than 30 leading ethics and compliance executives discussed their challenges and opportunities...more

Webinar - Benchmarking Your Hotline in 2015: How Does Your Data Measure Up?

Ethics officers agree—one of the most effective ways to measure your compliance program is by analyzing data from internal reporting systems. But how can you know what is good or bad without context? We’ve compiled...more

NAVEX Global’s 2015 Ethics and Compliance Hotline Benchmark Report: Three Ways to Put Our Data to Work for You

Ethics and compliance professionals regularly gather and analyze report data made through their numerous reporting systems. What they do with this data may mean the difference between identifying potential problems early, or...more

Are You Using Skewed Data to Benchmark Your Ethics & Compliance Hotline?

Benchmarking your hotline compliance data against best practices and peer data is an important part of assessing the health of your company’s culture. But not all industry benchmarks are created equal....more

By the Numbers: Spotting Trends in New Hotline/Helpline Survey Results

This week, the Society of Corporate Compliance and Ethics (SCCE) and the Health Care Compliance Association (HCCA) released the findings from their 2014 Helpline Calls and Incident Reports Whistleblower survey. The survey was...more

2014 Hotline Benchmarking Toolkit eBook.

In This Presentation: • What’s Happening With Call Volume? • The Repeat Reporter Story • Allegation Categories Remarkably Consistent • The Decline of the Anonymous Reporter? • Substantiation Rate Gets...more

FRANCE: The CNIL adopts new rules on whistleblowing, simplifying significantly hotline implementation in France

In a decision published on February 11, 2014, the French Data Protection Authority (CNIL) has for the first time adopted truly sweeping changes to its Single Authorization No. 004 on Whistleblowing....more

NAVEX Global’s 2014 Hotline Benchmark Report Marks Notable Changes in the Way Employees Use Company Hotlines/Helplines

For the last five years, NAVEX Global has been proud to provide the industry’s best and most statistically accurate hotline benchmarking data. Our annual reports are a trusted resource for ethics and compliance officers,...more

How Straight From The Lion’s Mouth Informs Your Hotline

The symbol of Venice is the Lion of St. Mark. The use of this symbol led to the maxim ‘straight from the lion’s mouth’. This adage came about because the Republic of Venice had its own hotline system where citizens could...more

Is the Office of the Whistleblower Living up to its Hype?

2013 Annual Report to Congress on the Dodd-Frank Whistleblower Program - Back when the Dodd-Frank Act first proposed the creation of the Office of the Whistleblower (OWB) a hue and cry went up from chief compliance...more

CFPB Teams With City Of Columbus To Field Consumer Complaints

On November 12, the CFPB announced a partnership with the City of Columbus to provide local residents access to the CFPB’s consumer complaint hotline through the city’s existing constituent service hotline. Columbus residents...more

Searching For Relevant Compliance Measurements

Some areas of compliance are truly nascent. For a profession which is undergoing a radical change in terms of demand and new technologies, more research is needed and greater understanding of program measurements. ...more

2013 Hotline Benchmarking Toolkit

Introduction - Every year, ethics and compliance professionals gather data from the reports made through their various reporting systems. The way the data is segmented may mean the difference between catching a...more

CFPB Teams With Boston To Field Consumer Complaints

On June 18, the CFPB announced a partnership with the City of Boston to provide local residents access to the CFPB’s consumer complaint hotline through the city’s existing constituent service hotline....more

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