Compliance & Ethics Programs

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External Compliance & Ethics Assessments

Increasingly, both corporate boards and senior managers commission third–party assessments of their companies’ Compliance & Ethics programs. Such an assessment can provide a view of a program that is both independent and based upon a broad range of Compliance & Ethics best practices. The attorneys of Kaplan & Walker LLP have conducted numerous such assessments.

Among other things, our assessments:

  • Are tailored – both in size and approach – to a company’s particular needs.
  • Include recommendations that can help provide strategic direction for a program.
  • Assist board members and senior managers in meeting their “Caremark” duties to shareholders.

Kaplan & Walker, LLP has conducted numerous assessments of organizations’ entire Compliance & Ethics programs, and has also conducted “deep dive” assessments of particular components of a program (such as the investigations function or Board oversight) or of particular subject matter areas (such as anti-bribery compliance). The assessments that we have conducted over the years create efficiencies and decrease the costs for our clients.