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

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 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.