Seminar  One-Hour Briefing

Assessing Your Compliance and Ethics Program


  • Webcast


    Sep. 28, 2018

    1:00 PM Eastern

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.

 

 


PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Speaker(s)
Jeffrey M. Kaplan ~ Kaplan & Walker LLP
Rebecca Walker ~ Kaplan & Walker LLP
Program Attorney(s)
Amy Taub ~ Director, One-Hour Briefings, Practising Law Institute
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. If two or more individuals wish to participate in a webcast and receive credit, PLI would be happy to provide a Groupcast – group viewing of a webcast. To schedule a Groupcast, please contact PLI at groupcasts@pli.edu.


U.S. MCLE States

Alabama:  PLI’s live one-hour briefings qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live one-hour briefings.

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 live one-hour briefings 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 live one-hour briefings qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live one-hour briefings.

California:  PLI’s live one-hour briefings 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 live one-hour briefings qualify as “eCLE” credit. Attorneys are limited to 12 credits of eCLE per reporting period.

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 live one-hour briefings 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 live one-hour briefings qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live one-hour briefings.

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 live one-hour briefings qualify as “distance education” credit. Attorneys are limited to 9 credits of distance education per reporting period.

Iowa:  PLI’s live one-hour briefings qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live one-hour briefings.

Kansas:  PLI’s live one-hour briefings qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live one-hour briefings.

Kentucky:  PLI’s live one-hour briefings qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live one-hour briefings.

Louisiana:  PLI’s live one-hour briefings qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

Maine:  PLI’s live one-hour briefings qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live one-hour briefings.

Minnesota:  PLI’s live one-hour briefings qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live one-hour briefings.

Mississippi:  PLI’s live one-hour briefings qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live one-hour briefings qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live one-hour briefings.

Montana:  PLI’s live one-hour briefings qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live one-hour briefings.

Nebraska:  PLI’s live one-hour briefings qualify as “computer-based learning” credit. Attorneys are limited to 5 credits of computer-based learning per reporting period.

Nevada:  PLI’s live one-hour briefings qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live one-hour briefings.

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 live one-hour briefings 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 live one-hour briefings qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live one-hour briefings.

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 live one-hour briefings can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live one-hour briefings. Skills credits may not be earned via live one-hour briefings.

North Carolina:  PLI’s live one-hour briefings qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live one-hour briefings.

North Dakota:  PLI’s live one-hour briefings qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live one-hour briefings.

Ohio:  PLI’s live one-hour briefings qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Oklahoma:  PLI’s live one-hour briefings qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live one-hour briefings.

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 live one-hour briefings 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 live one-hour briefings qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live one-hour briefings.

South Carolina:  PLI’s live one-hour briefings qualify as “alternatively delivered” credit. Attorneys are limited to 6 credits of alternatively delivered programs per reporting period.

Tennessee:  PLI’s live one-hour briefings 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 live one-hour briefings qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live one-hour briefings qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live one-hour briefings.

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 live one-hour briefings qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

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 live one-hour briefings qualify as “online” credit. Attorneys are limited to 12 credits of online instruction per reporting period.

Wisconsin:  PLI’s live one-hour briefings qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live one-hour briefings.

Wyoming:  PLI’s live one-hour briefings qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live one-hour briefings.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live one-hour briefings qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live one-hour briefings qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live one-hour briefings can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live one-hour briefings qualify as “distance learning” credit. Attorneys are limited to 15 points of distance learning programs per reporting period.

United Kingdom (CPD-UK):  PLI’s live one-hour briefings can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live one-hour briefings may fulfill Australia’s CPD requirements. Credit limits for live one-hour briefings 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 live one-hour briefings may fulfill CLPD credit requirements.


Other Credit Types

CPE Credit (NASBA):  PLI’s live one-hour briefings qualify as the “Group-Internet-Based” (GIB) 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 live one-hour briefings 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 live one-hour briefings 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 live one-hour briefings may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live one-hour briefings may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live one-hour briefings qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live one-hour briefings qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live one-hour briefings.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live one-hour briefings may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live one-hour briefings may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live one-hour briefings may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live one-hour briefings may fulfill CFP credit requirements.

 

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