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Taking Your Ethics and Compliance Program to the Next Level

by kwalker | Sep 24, 2013

Overview

Program Assessment

Risk Assessment

Monitorships and Related Services

Compliance and Ethics Program Structure

Board Oversight

Codes and Policies

Training and Communications

Reporting, Investigation and Response

The attorneys of Kaplan & Walker LLP assist corporations and individuals in a wide range of matters relating to the field of compliance and business ethics.

Recent Posts

Training the Board

Although many companies have well-developed procedures and practices for reporting information to their boards regarding their compliance and ethics programs, training members of the board is an area that organizations continue to grapple with.  Indeed,...

More on reverse conflicts of interest

A company enters into a complex business arrangement where one of its managers has a relationship with the other entity.  The relationship is fully disclosed and approved pursuant to company policy on COI waivers.  After some  time, the arrangement runs into business...

What you need to know about VSD’s

Enhancements to the Department of Justice Policy on Voluntary Self-disclosure On February 22, 2023 the United States Department of Justice (DOJ) announced a policy, effective immediately, to provide a nationwide standard for how the U.S. Attorney’s Office (USAO) is to...

What is one of the biggest threats to company ethics?

Retaliation Retaliation happens more than we want to believe. Companies should treat it as a serious threat and manage it actively, as they would with other serious risks. People are predisposed to dislike and distrust bad news messengers, making retaliation a...

Assessing Codes of Conduct

Codes of conduct are often described as the most important document in a compliance program. Codes help set the right tone for compliance and ethics (“C&E”) programs.  They are educational tools that should serve to raise awareness and understanding of important...

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