Josh Wallenstein Wallenstein Law Group, Managing Member
John Sardar Noble Energy, Chief Compliance Officer
Alberto Orozco PwC, Partner
Program Level: Intermediate
Duration: 60 minutes
Delivery Date: September 20, 2018
Release Date: May 27, 2019
Learn how to conduct comprehensive and credible compliance risk assessments. Compliance risk assessments can sensitize companies to material risks (so that they can be mitigated, minimized, or managed). This course brings together experienced outside and in-house counsel as they advise on how to (i) justify a risk assessment, (ii) appropriately staff, scope and schedule, (iii) develop a risk inventory, (iv) conduct the exercise, and (v) expertly manage material violations that may be unearthed in the process.
At the end of this session, participants will be able to:
– Justify (and understand the purpose of) a Compliance Risk Assessment
– Appropriately staff, scope and schedule a Compliance Risk Assessment
– Develop a comprehensive Risk Inventory
– Conduct an effective Compliance Risk Assessment
– Understand how to expertly manage the discovery of a material violation
– Mins. 1-10: Definition / Explanation
– Mins. 11-20: Purpose
– Mins. 21-30: Staffing and Scoping
– Mins. 31-40: Frequency
– Mins. 41-50: Risk Inventory Development
– Mins. 51-60: If a Material Violation Were Discovered…
This program is currently available for general credit in the following states:
*In Hawaii and New Jersey, we rely on their reciprocity policies pursuant to which our programs are deemed accredited once they are approved in the various reciprocity states where we apply such as California, Illinois, New York, Pennsylvania and Texas.
For information on attendance reporting, please refer to the CLE Info page.