Credible and Effective Compliance Risk Assessments

Presenters:

Josh Wallenstein Wallenstein Law Group, Managing Member

John Sardar Noble Energy, Chief Compliance Officer

Alberto Orozco PwC, Partner

Categories:

Regulatory Compliance

Program Level: Intermediate

Duration: 60 minutes

Delivery Date: September 20, 2018

Release Date: May 27, 2019

Program Desciption

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.

Learning Objectives

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

Agenda

– 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…

CLE Info

This program is currently available for general credit in the following states:

Alabama
Alaska
Arizona
California
Colorado
Connecticut
Georgia
Hawaii*
Illinois
Indiana
Minnesota
Mississippi
Missouri
Nevada
New Hampshire
New Jersey*
New York
North Carolina
North Dakota
Ohio
Oregon
Pennsylvania
Tennessee

Texas
Vermont
Washington
West Virginia
Wisconsin

*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.

 

Presenters:

Josh Wallenstein
Managing Member, Wallenstein Law Group

John Sardar
Chief Compliance Officer, Noble Energy

Alberto Orozco
Partner, PwC

Categories:

Regulatory Compliance

Program Level: Intermediate

Duration: 60 minutes

Delivery Date: September 20, 2018

Release Date: May 27, 2019