Self-Evaluation | Axiom Compliance & Ethics Solutions LLC

Has your firm established policies, procedures and a code of ethics that effectively communicates your standards of conduct to your employees?*

Yes
No

Does your senior management team and your board of directors ensure that your firm has an effective compliance and ethics program in accordance with federal guidelines?*

Yes
No

Are specific individuals within high-level personnel assigned overall responsibility for your firm’s compliance and ethics program?*

Yes
No

Prior to hiring or promoting individuals to senior management positions, does your organization use reasonable efforts to ensure they have not engaged in illegal activities or other conduct inconsistent with an effective compliance and ethics program?*

Yes
No

Do individuals with operational responsibility for your compliance and ethics program report periodically to high-level personnel and, as appropriate, to the board of directors, on the effectiveness of the compliance and ethics program?*

Yes
No

Are individuals with operational responsibility for your compliance and ethics program given adequate resources, appropriate authority, and direct access to the board of directors?*

Yes
No

Does your firm have an effective compliance and ethics training program?*

Yes
No

Does your firm have effective monitoring and auditing programs to detect misconduct?*

Yes
No

Does your firm have an anonymous helpline that employees can call to report misconduct and trained investigators to respond to such reports?*

Yes
No

Does your firm periodically assess the risk of criminal conduct and take appropriate steps to design, implement, or modify your compliance and ethics program to reduce the risk of criminal conduct identified through this process?*

Yes
No

Your Score

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If your score is 1 or higher, click on the link below to set up a free one-hour consultation. We have the expertise to help you rapidly evaluate the current state of your compliance and ethics program and do the work necessary to help you achieve full compliance with the federal seven elements of an effective compliance and ethics program.

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