Best Practices for Managing Corporate Ethics & Compliance Risks Self-Study Webinar (1.5 Hours)


Periodic risk assessments are essential to any business. In this program, you will learn how to implement successful compliance and ethics programs based on DOJ guidelines, as well as how to manage specific risks, and deal with third parties and investigations. Experts will discuss:

  • State and federal law duties
  • Leading current guidance: DOJ hallmarks of effective compliance programs
  • Key hallmarks and risks
  • Takeaways

Learn the importance of performing periodic risk assessments—and implementing successful compliance and ethics programs—to protect your business.

  • Delaware Duties
  • Federal Sentencing Guidelines (Culpability & Mitigation)
  • Hallmarks of Effective Compliance Programs
  • Relevant DOJ Guidance for Evaluating Programs 
  • Incentives
  • Program Structure
  • Compliance Function Autonomy & Resources
  • Risk Assessment
  • Managing Specific Risks
  • Third Parties
  • Electronic Communications
  • Autonomy & Resources
  • Implementing the Program
  • Continuous Improvement—Periodic Testing & Review
  • Confidential Reporting & Investigations
  • Incentives & Disciplinary Measures

• Identify the legal effort directors and officers must expend to ensure an organization’s compliance with applicable statutes and regulations

• Recognize the sources of mandatory corporate compliance programs and federal law

• Recognize the methodology for the assignment of culpability under the federal sentencing guidelines

• Identify DOJ guidance for evaluating corporate compliance programs

• Recognize the components of leading corporate compliance programs

• Recognize the characteristics of successful risk assessment programs




No advance preparation required.

Level of Knowledge: 


CPE Credit: 
NASBA Field of Study: