Compliance & Ethics Programs


Why do companies need Compliance & Ethics programs?

Compliance & Ethics programs help companies prevent wrongdoing, detect misconduct at an early stage, build a culture that helps foster morale (and thus productivity) among employees; reduce the risk of civil and criminal liability by the organization, its directors or officers, for acts of individual wrongdoers; and mitigate punishment in the event of liability. Compliance & Ethics programs provide companies with an organized structure to control for the risks of legal and policy violations.

How can Kaplan & Walker LLP assist companies in implementing effective Compliance & Ethics programs?

We provide the following, all of which is important to designing, improving and assessing Compliance & Ethics programs:

  • the kind of detailed knowledge of best practices that comes from experience;
  • an understanding of corporate criminal and civil legal risks, and how those risks can be mitigated through the use of a Compliance & Ethics program; and
  • the perspective of an outside, independent advisor, which can be particularly useful in the often-sensitive areas of risk assessment and program assessment.