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Assessing Your Compliance and Ethics Program

Recorded on: Oct. 5, 2018
Running Time: 01:05:24
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
  • General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.

    PLI’s live and on-demand webcasts are single-user license products intended for an individual registrant only. Credit will be issued only to the individual registered.


    U.S. MCLE States

    Alabama:  PLI’s MP3 audio segments qualify as “online” credit. Attorneys are limited to 6 credits of online programs per reporting period.

    Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

    Arizona:  PLI’s MP3 audio segments qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

    Arkansas:  PLI’s MP3 audio segments are not approved for Arkansas CLE credit.

    California:  PLI’s MP3 audio segments qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

    Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

    Connecticut: Effective January 1, 2017,  all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

    Delaware:  PLI’s MP3 audio segments qualify as “eCLE” credit. Attorneys are limited to 12credits of eCLE per reporting period, no more than 6 of which may be audio-only.

    Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

    Georgia:  PLI’s MP3 audio segments qualify as “in-house” credit. Attorneys are limited to 6 in-house credits per reporting period.

    Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

    Idaho:  PLI’s MP3 audio segments qualify as “self-study” credit. Attorneys are limited to 15 credits of self-study per reporting period.

    Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

    Indiana:  PLI’s MP3 audio segments do not qualify for credit.

    Iowa:  PLI’s MP3 audio segments qualify as “unmoderated” credit. Attorneys are limited to 6credits of unmoderated programs per reporting period.

    Kansas:  PLI’s MP3 audio segments qualify as “prerecorded” credit. Attorneys are limited to 6 credits of prerecorded programs per reporting period.

    Kentucky:  PLI’s MP3 audio segments qualify as “non-live” credit. Attorneys are limited to 6non-live credits per reporting period.

    Louisiana:  PLI’s MP3 audio segments qualify as “self-study” credit. Attorneys are limited to 4credits of self-study per reporting period.

    Maine:  PLI’s MP3 audio segments qualify as “self-study” credit. Attorneys are limited to 5.5credits of self-study per reporting period.

    Minnesota:  PLI’s MP3 audio segments qualify as “on-demand” credit. Attorneys are limited to 15on-demand credits per reporting period.

    Mississippi:  PLI’s MP3 audio segments qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

    Missouri:  PLI’s MP3 audio segments qualify as “self-study” credit. Attorneys are limited to 6credits of self-study per reporting period.

    Montana:  PLI’s MP3 audio segments qualify as “self-study” credit. Attorneys are limited to 5credits of self-study per reporting period.

    Nebraska:  PLI’s MP3 audio segments qualify as “computer-based learning” credit. Attorneys are limited to 5 credits of computer-based learning per reporting period.

    Nevada:  PLI’s MP3 audio segments qualify as “self-study” credit. There is no limit to the number of credits an attorney can earn via self-study programs.

    New Hampshire:  All PLI products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

    New Jersey:  PLI’s MP3 audio segments qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

    New Mexico:  PLI’s MP3 audio segments qualify as “self-study” credit. Attorneys are limited to 4credits of self-study per reporting period.

    New York

    Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

    Newly Admitted Attorneys:  PLI’s transitional MP3 audio segments can be used to fulfill the requirements for New York newly admitted attorneys. Only professional practice and law practice management credits may be earned via transitional MP3 audio segments. Ethics and skills credits may not be earned via MP3 audio segments.

    North Carolina:  PLI’s MP3 audio segments qualify as “online” credit. Attorneys are limited to 6 credits of online programs per reporting period.

    North Dakota:  PLI’s MP3 audio segments qualify as “self-study” credit. Attorneys are limited to 15credits of self-study per reporting period.

    Ohio:  PLI’s MP3 audio segments qualify as “self-study” credit. Attorneys are limited to 12credits of self-study per reporting period.

    Oklahoma:  PLI’s MP3 audio segments qualify as “online, on-demand” credit. Attorneys are limited to 6 credits of online, on-demand programs per reporting period.

    Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

    Pennsylvania:  PLI’s MP3 audio segments qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

    Puerto Rico:  All PLI products can fulfill Puerto Rico’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

    Rhode Island:  PLI’s MP3 audio segments qualify as “video replay” credit. Attorneys are limited to 6 video replay credits per reporting period.

    South Carolina:  PLI’s MP3 audio segments qualify as “alternatively delivered” credit. Attorneys are limited to 6 credits of alternatively delivered programs per reporting period.

    Tennessee:  PLI’s MP3 audio segments qualify as “distance learning” credit. Attorneys are limited to 8 credits of distance learning per reporting period.

    Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

    Utah:  PLI’s MP3 audio segments qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

    Vermont:  PLI’s MP3 audio segments qualify as “self-study” credit. Attorneys are limited to 10 credits of self-study per reporting period.

    Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

    Virginia:  PLI’s MP3 audio segments qualify as “pre-recorded” credit. Attorneys are limited to 8credits of pre-recorded programs per reporting period.

    Washington:  All PLI products can fulfill Washington’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

    West Virginia:  PLI’s MP3 audio segments qualify as “online” credit. Attorneys are limited to 12 credits of online instruction per reporting period.

    Wisconsin:  PLI’s MP3 audio segments qualify as “repeated, on-demand” credit. Attorneys are limited to 15 credits of repeated, on-demand programs per reporting period. No ethics credits can be earned via MP3 audio segments.

    Wyoming:  PLI’s MP3 audio segments qualify as “self-study” credit. Attorneys are limited to 6credits of self-study per reporting period.

    CPD Jurisdictions

    British Columbia (CPD-BC):  PLI’s MP3 audio segments are not eligible for CPD-BC credit unless viewed with at least one other attorney or an articled student. In this case, the credit must be recorded as a “study group.”

    Ontario (CPD-ON):  PLI’s MP3 audio segments qualify as “recorded” credit. If viewed without a colleague, attorneys are limited to 6 credits of recorded programs per year. If viewed with at least one colleague, there is no limit to the number of credits that can be earned via recorded programs.

    Quebec (CPD-QC):  PLI’s MP3 audio segments can fulfill Quebec’s CPD requirements.

    Hong Kong (CPD-HK):  PLI’s MP3 audio segments are not approved for CPD-HK credit.

    United Kingdom (CPD-UK):  PLI’s MP3 audio segments can fulfill the United Kingdom’s CPD requirements.

    Australia (CPD-AUS):  PLI’s MP3 audio segments may fulfill Australia’s CPD requirements. Credit limits on MP3 audio segments vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.

    Alberta (CPD-ALBERTA):  All PLI products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via PLI products.

    Dubai (CLPD-DUBAI):  PLI’s MP3 audio segments may fulfill CLPD credit requirements.

    Other Credit Types

    CPE Credit (NASBA):  Select MP3 audio segments qualify as the “QAS Self-Study” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

    IRS Continuing Education (IRS-CE):  PLI’s MP3 audio segments may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

    Certified Fraud Examiner CPE:  PLI’s MP3 audio segments may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

    IAPP Continuing Privacy Credit (CPE):  PLI’s MP3 audio segments may fulfill Privacy CPE credit requirements.

    HR Recertification (HRCI):  PLI’s MP3 audio segments may fulfill HR credit requirements.

    SHRM Recertification (SHRM):  PLI’s MP3 audio segments qualify as "self-paced" credit. SHRM professionals are limited to 30 credits of self-paced programs per recertification period.

    Compliance Certification Board (CCB):  PLI’s MP3 audio segments qualify as “self-study” credit. Candidates are limited to 10 self-study credits per 12-month period, and certification holders are limited to 20 self-study credits per 2-year renewal period.

    Certified Anti-Money Laundering Specialists Certification (CAMS):  PLI’s MP3 audio segments are not approved for CAMS credit.

    New York State Social Worker Continuing Education (SW CPE):  PLI’s MP3 audio segments are not approved for SW CPE credit.

    American Bankers Association Professional Certification (ABA):  PLI’s MP3 audio segments may fulfill ABA credit requirements.

    Certified Financial Planners (CFP):  PLI’s MP3 audio segments are not approved for CFP credit.

     

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