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Effective compliance and ethics programs are essential to companies of all kinds and are widely expected of companies wishing to be viewed as “good corporate citizens.” Such programs help organizations prevent, detect and respond in an effective manner to misconduct. Compliance and ethics (“C&E”) programs are a necessary tool for managing the substantial risks that can be posed by employee and third-party misconduct, as well as assisting organizations in mitigating the harm from violations when they do occur.
Companies with robust C&E programs minimize the likelihood of devastating criminal and regulatory actions — and also reap the rewards of employee loyalty and customer and shareholder trust. At this Workshop, experienced compliance officers and in-house and law firm attorneys working in the compliance field will learn about best C&E practices from faculty drawn from major corporations, law firms and academia. They will provide you with the tools you need to enhance your program, protect your company and further your professional development.
What You Will Learn
- New standards and recent case law — both in the U.S. and elsewhere – including a “deep dive” into recent Department of Justice compliance program criteria
- How to design, conduct, and utilize the results of C&E risk assessments
- Creating a risk-based training and communications plan and how to measure the efficacy of training
- Structuring and staffing your program to ensure sufficient independence, resources, reach and clout
- Receiving, investigating, escalating and resolving allegations
- Using tangible and intangible incentives to promote compliance
- How to perform effective compliance audits, program assessments, and compliance monitoring
- Reporting to the board and senior management
- Above all, you will learn how to develop and maintain a “culture of compliance” at your company
- 2 hours of business ethics
- Benchmark with your peers
Program Level: Overview
Prerequisites: Participants with a foundation in corporate compliance programs would most benefit from this program.
Intended Audience: Experienced compliance officers, human resources professionals, in-house and law firm attorneys working in the compliance field, and staff responsible for compliance program management
Advanced Preparation: None