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:

If you are a Privileged Member, just log in and start reading now! If you are not a Privileged Member, please click here to learn how unlimited access to PLI programs may be right for you and your firm.

To access the streaming media of this presentation, please purchase the corresponding seminar segment.

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),
    Jeffrey M. Kaplan

Presentation Material

  • PowerPoint for "Monitor, Audit, and Assess: Explore the Three Lines of Compliance Defense" Segment
    Jeffrey M. Kaplan
Janice L Innis-Thompson ~ Former Chief Compliance & Ethics Officer, TIAA and Senior Consultant, Compliance Strategies
Jeffrey M Kaplan ~ Kaplan & Walker LLP
Transcript FAQ's
  • How Can I Access Transcripts?
    You must be a Member in good standing.

  • Can I access the Video?
    Yes, you can access the video if you have the Adobe Flash plugin installed. Click on the video camera icon when you mouse over each paragraph. The media will begin playback at that point.

  • Can I get CLE credit for reading the transcript?
    No, CLE credit cannot be earned for reading a transcript. CLE credit is issued only for verified attendance while watching a web program. If seeking credit, please verify the program's eligibility for credit and expiration date in your jurisdiction on the web segment launch page before commencing the program.

  • twitter
  • LinkedIn
  • YouTube
  • RSS

All Contents Copyright © 1996-2018 Practising Law Institute. Continuing Legal Education since 1933.

© 2018 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.