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

Encouraging employees and others to report suspected violations and to seek guidance on Compliance & Ethics matters

An important component of a Compliance & Ethics program is providing employees and others with the means to report possible violations of law or policy and to seek guidance on Compliance & Ethics matters. Kaplan & Walker LLP assists clients in developing robust reporting policies and procedures — including anti–retaliation measures, communication of reporting systems to all relevant constituencies and training involving reporting issues. We also have extensive experience conducting focus groups regarding employees’ comfort level with reporting suspected misconduct.

Compliance & Ethics Investigations and Discipline

Responding to indications of wrongdoing in a timely and through manner can be among the most challenging aspects of maintaining an effective Compliance & Ethics program. We help companies meet this challenge through:

  • developing Compliance & Ethics investigative protocols,
  • drafting policies for the imposition of discipline, and
  • providing advice on sensitive issues regarding individual investigations or discipline.

We also conduct independent investigations on behalf of companies and boards.