A Compliance and Ethics Law Firm

WHAT WE DO

The attorneys of Kaplan & Walker LLP assist organizations in a wide range of matters relating to compliance and business ethics. We offer clients the professional knowledge and skills of seasoned business lawyers as well as the insight and practical know-how acquired through helping hundreds of companies develop and enhance compliance and ethics programs. We have worked with organizations in a diverse range of industries, including energy, chemicals, insurance, financial services, pharmaceutical, technology, transportation, retail, gaming, automotive, telecommunications, consumer products, engineering, non-profits and more.

Our Practice

Program Assessment

Increasingly, both corporate boards and senior managers commission third–party assessments of their companies’ Compliance & Ethics programs. Such an assessment can provide a view….

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Risk Assessment

Both as a matter of law and of common business sense, a Compliance & Ethics program should be based upon a Compliance & Ethics risk assessment.. Among other things….

Monitorships and Related Services

Increasingly, the government imposes monitorships and similar conditions in connection with settling cases against corporations……

Compliance and Ethics Program Structure

Companies often assign responsibility for day–to–day management of the program to Compliance & Ethics officers. Many factors go into making this….

Board Oversight

Boards of directors often play an important role in overseeing their companies’ Compliance & Ethics programs. We have provided guidance to many boards concerning….

Codes and Policies

The foundational document for any Compliance & Ethics program is the corporate code of conduct. We have drafted, edited, and assessed codes for many companies….

Training and Communications

Our attorneys have extensive experience with all aspects of training – including helping companies determine the appropriate topics, audiences….

Reporting and Investigation

An important component of a Compliance & Ethics program is providing employees and others with the means to report possible violations of law or policy….

Compliance & Ethics Programs
Resolving Compliance & Ethics Disputes

Our Attorneys

Jeff Kaplan

Mr. Kaplan is a partner in Kaplan & Walker LLP, a law firm in Princeton, New Jersey and Santa Monica, California. He specializes in all aspects of assisting companies…..
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Rebecca Walker

Rebecca Walker is a partner in the law firm of Kaplan & Walker LLP, a law firm specializing in corporate compliance and ethics located in Santa Monica…..
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Marianne Wisner

Marianne Wisner served as a Staff Attorney with the Division of Enforcement, Securities and Exchange Commission and as a Special Assistant United States Attorney, United States Attorney’s Office…
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Explore our Publications

Publications

Recent Articles

An opportunity to assess and strengthen board oversight

By Rebecca Walker, JD

Robust board oversight of a compliance program is critically important to creating adequate program independence and authority. With the recent Delaware court decisions in Boeing

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Meet Rebecca Walker: The progression of compliance

By Rebecca Walker, JD

RW: You are correct, Adam, that I got my start in compliance during the 1990s, when both the compliance profession and I were still quite young. At the time, I was a white-collar criminal defense lawyer in New York

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Our third rail: Compliance within the legal department

By Rebecca Walker, JD

The issue of whether the chief ethics and compliance officer (CECO) should report to the general counsel (GC) has been a hot-button issue in the compliance community for many years.

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