Best Practices for Managing Corporate Ethics & Compliance Risks Webinar (1 Hour)

Overview: 

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:
 

  • Preventing & Detecting Misconduct
  • Protecting Reputation
  • Mitigating Government & Civil Actions
  • The Importance of Clear & Effective Communication

Objective: 

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

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

None.

Preparation: 

No advance preparation required.

Level of Knowledge: 

Overview.

CPE Credit: 
1.00
NASBA Field of Study: 
Finance