transcript   Transcript

Ethics for Compliance Lawyers and Compliance Officers

Recorded on: Jun. 5, 2017
Running Time: 01:00:39

Full Transcript:

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Taken from the Web Program Corporate Compliance and Ethics Institute 2017 recorded June, 2017 in New York.

Ethics for Compliance Lawyers and Compliance Officers [01:00:39]
  • Risk Assessment, Program Assessment and Attorney-Client Privilege
  • Lawyer Obligations Under Ethics Rules
  • "Who Is the Client?” Issues
  • Sarbanes-Oxley Section 307 Reporting Requirements
  • Compliance and ethics professional standards
  • Compliance and ethics obligations triggered by technological advances

Jeffrey M. Kaplan, Gretchen Winter

The purchase price of this segment includes the following article from the Course Handbook available online:

  • Ethical Considerations in Compliance: Professional and Substantive—Selected Background Information (February 3, 2017)
    Theodore L. Banks
  • Legal Ethics for Compliance Lawyers: An Overview
    Matthew Tanzer, Jeffrey M. Kaplan, Rebecca Walker

Presentation Material

  • PowerPoint for "Ethics for Compliance Lawyers and Compliance Officers" Segment
    Jeffrey M. Kaplan, Gretchen A. Winter
Jeffrey M Kaplan ~ Kaplan & Walker LLP
Gretchen A Winter ~ Executive Director, Center for Professional Responsibility in Business and Society, College of Business, University of Illinois at Urbana-Champaign
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