transcript   Transcript

Monitor, Audit, and Assess: Explore the Three Lines of Compliance Defense

Recorded on: Jun. 5, 2017
Running Time: 01:00:50

Full Transcript:



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

Monitor, Audit, and Assess: Explore the Three Lines of Compliance Defense [01:00:50]
  • Best Practices in Compliance Auditing and Monitoring
  • Program Assessment: Techniques to Test if Your Program Is Working
  • Using Data to Enhance Your Program: What Metrics Can Tell Us
  • Compliance and Ethics Surveys
(CFE Field of Study: Fraud)

Janice L. Innis Thompson, Jeffrey M. Kaplan


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

  • U.S. Dep’t of Justice, Criminal Div., Memo on Evaluation of Corporate Compliance Programs (February 8, 2017)
    Rebecca Walker
  • Jeffrey M. Kaplan, Asking a Good Question, Conflict of Interest Blog (December 17, 2016), http://conflictofinterestblog.com/2016/12/askinga-good-question.html
    Jeffrey M. Kaplan

Presentation Material

  • PowerPoint for "Monitor, Audit, and Assess: Explore the Three Lines of Compliance Defense" Segment
    Jeffrey M. Kaplan
(s)
Janice L Innis-Thompson ~ Former Chief Compliance & Ethics Officer, TIAA and Senior Consultant, Compliance Strategies
Jeffrey M Kaplan ~ Kaplan & Walker LLP
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