Compliance & Ethics Programs

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

Overview

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.