Survey Results: Whistleblower Policies & Procedures
1. In the wake of the SEC's new whistleblower rules, our
company:(Total responses: n=33)
(select only one) |
| n=3 (9.09%) |
Has changed existing policies to address the new rules
|
| n=9 (27.27%) |
Hasn't yet, but intends to change existing policies to
address the new rules |
| n=14 (42.42%) |
Not sure yet if will change existing policies |
| n=7 (21.21%) |
Has decided not to change existing policies because
considerations under the new rules are adequately addressed by
existing policies |
2. The board committee charged with consideration of the SEC's new
whistleblower rules is:(Total responses: n=32)
(select only one) |
| n=22 (68.75%) |
Audit Committee |
| n=6 (18.75%) |
Corporate Governance Committee |
| n=0 (0.00%) |
Risk Committee |
| n=3 (9.38%) |
Compliance Committee |
| n=0 (0.00%) |
Compensation Committee |
| n=1 (3.13%) |
Board as a whole |
3. In the wake of the SEC's new whistleblower rules, our company:(Total
responses: n=33)
(select only one) |
| n=0 (0.00%) |
Has provided incentives for whistleblowers to report internally
first |
| n=1 (3.03%) |
Hasn't yet, but intends to provide incentives for whistleblowers
to report internally first |
| n=20 (60.61%) |
Not sure yet if will provide incentives for whistleblowers to
report internally first |
| n=12 (36.36%) |
Has decided to not provide incentives for whistleblowers to
report internally first |
4. In the wake of the SEC's new whistleblower rules, our company:(Total
responses: n=33)
(select only one) |
| n=4 (12.12%) |
Has created a system to alert employees of the benefits of
reporting internally (eg. sign updated employee handbook, fill out
compliance questionnaires) |
| n=8 (24.24%) |
Hasn't yet, but intends to create a system to alert employees of
the benefits of reporting internally |
| n=20 (60.61%) |
Not sure yet if will create a system to alert employees of the
benefits of reporting internally |
| n=1 (3.03%) |
Has decided not to create a system to alert employees of the
benefits of reporting internally |
5. Since Dodd-Frank was enacted in mid-2010, our company has had:(Total
responses: n=32)
(select only one) |
| n=1 (3.13%) |
More whistleblower claims reported internally |
| n=29 (90.63%) |
Same number of whistleblower claims reported internally |
| n=2 (6.25%) |
Fewer whistleblower claims reported internally |
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