Legal Requirements for an Organizational Ethics and Compliance Program
June 16, 2016 9:00 am to 10:00 am; check-in begins at 8:30 am
1 ethics credit
A number of laws and regulations require businesses and other types of organizations, such as trade associations and non-profits, to develop and operate an organizational ethics and compliance program. Designed to provide an overview of the applicable laws and regulations as well as the legal requirements for an ethics and compliance program, this seminar will discuss the attorney’s role in advising clients on making sound ethical and legal choices.
Identifying and Mitigating Legal Risks
10:30 am to 11:30 am; check-in begins at 10:00 am
1 substantive credit
Organizations are required by law to identify and mitigate the legal risks to enable ethical and legal operations. Discuss how to effectively and efficiently identify legal risks through a risk assessment and learn how to prioritize and manage risks, including corruption and financial statement risks, once they are identified.
Managing Third Party Risk
12:00 noon to 1:00 pm; check-in begins at 11:30 am
1 substantive credit
Organizations have increasingly relied on third parties to handle traditional business operations such as recruiting, invoicing and IT support as well as to bring their products and services to an international market. Using third parties enables efficiencies, reduces costs and increases business development opportunities. When working with third parties, it is vital that an organization be able to identify and manage risks. Discuss methods for prioritizing third party risks as well as risk management methods through due diligence, training, contract clauses and audits.
Compliantly Interacting with Governments: Foreign, Federal, State and Local
1:30 pm to 2:30 pm; check-in begins at 1:00 pm
1 substantive credit
Organizations interface with foreign, federal, state and local governments as both customers and clients as well as their regulators. These interactions, whether with a foreign government or domestic government agency, expose businesses and their employees to corruption, conflicts of interest and other ethical and legal quandaries. Providing and overview of laws and regulations defining the relationship between governments and non-government organizations and individuals, this course will provide methods to identify and avoid corrupt transactions.