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Assessing Your Compliance and Ethics Program

Recorded on: Oct. 5, 2018
Running Time: 01:05:24

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Taken from the Audio-only Briefing Assessing Your Compliance and Ethics Program Recorded September 2018 in New York

Assessing Your Compliance and Ethics Program [01:05:24]

Under applicable government standards and best practices, expectations regarding compliance & ethics (C&E) program assessments have never been higher.  In this Briefing, Jeffrey M. Kaplan and Rebecca Walker of Kaplan & Walker LLP will discuss government expectations and practical tools to help you conduct an effective assessment of your program.  They will cover the following key topics:
  • Official requirements for conducting C&E program assessments and business-related reasons to do so
  • The various tools used in conducting assessments: interviews, document review, surveys, focus groups, benchmarking, maturity models, etc.
  • When and how to conduct an assessment under the attorney-client privilege and related matters of confidentiality
  • The size, scope and frequency of assessments
  • What to know and to look out for in formulating findings and recommendations, and in drafting and disseminating an assessment report
  • The role of the board of directors and of senior management
  • For each of the major elements and sub-elements of a C&E program –  risk assessment, program management and oversight, policies, training, auditing, helplines, incentives, etc. – what to look for both in terms of efficacy and opportunities for improvement
  • Assessing the characteristics of an effective C&E program, such as independence, clout, reach and sufficiency of resources
  • “Deep dives” into areas of high risk – such as anti-corruption and antitrust compliance
  • The hallmarks of an ethical organizational culture
  • Use of “behavioral ethics” ideas and information in C&E program assessments

The program will provide practical advice to in-house lawyers with C&E program related responsibilities and to other attorneys who counsel organizations on C&E matters.

Please note that “ethics” in the program title refers to the “Compliance and Ethics Program” used in Federal Sentencing Guidelines for Organizations.  It does not specifically refer to legal ethics.  Please check the credit calculator to the right for credit information for your jurisdiction.

Presentation Material
  • Assessing Your Compliance & Ethics Program
    Jeffrey M. Kaplan, Rebecca Walker
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