HomeWebcastStructuring an Effective Ethics and Compliance Program: Essentials and Key Considerations for Accountants
Online CLE Effective Ethics CLE

Structuring an Effective Ethics and Compliance Program: Essentials and Key Considerations for Accountants

Live Webcast Date: Wednesday, August 14, 2019 from 3:00 pm to 5:00 pm (ET)
Ethics/Professional Responsibility CLE & CPERecording

Online CLE Effective Ethics

Join us for this Knowledge Group Online CLE Effective Ethics Webinar. An ethics and compliance (E&C) program is a vital ingredient for the growth and success of an organization and its people. It promotes the culture of integrity and compliance for a healthy and conducive working environment. Failure to realize the importance of an effective E&C program could hamper businesses and incur reputational damage, more so, the potential for legal violations. To avoid such risks, it is imperative that organizations ensure a robust and effective E&C program. They must also revisit their existing E&C programs to keep up with the changing business and regulatory landscape.

In a Webcast, a panel of key thought leaders and practitioners assembled by The Knowledge Group will offer the audience with an in-depth discussion of the fundamentals as well as legal aspects of an effective E&C program. Speakers will dig deeper as they analyze potential issues and offer risk mitigations strategies to avoid drawbacks.

Key topics include:

  • Importance of an Ethics and Compliance Program
  • Key Considerations in Structuring an Ethics and Compliance Program
  • Assessing Compliance Vulnerabilities
  • Risk Mitigation Strategies
  • Best Practices

Agenda

Judy L. Woods, Of Counsel
Krieg DeVault
  1. The Importance of an Ethics and Compliance Programs to Every Organization
  2. The Difference Between Ethics and Compliance
  3. Key Elements of an Ethics/Compliance Program

Richard Arthurs CPA, CMA, CIA, CFE, CRMA, QIAL, MBA, Partner, National Leader
MNP LLP
  • Importance of an Ethics and Compliance Program
    • Ethical issues can destroy significant value for a company and an individuals professional reputation
    • Investors value companies with great ethical reputations
  • Key Considerations in Structuring an Ethics and Compliance Program
    • Understand your organizations vulnerability to fraudulent activity. Complete a fraud risk assessment. High risk requires a different approach.
    • What is the status of your controls? Do you have an ethics hotline, a code of conduct, and an investigation protocol?
    • What ethics violations have happened in the past? Could the controls allow this to happen again?
    • How strong is your tone from the top?
    • Who owns fraud investigation in your organization?
  • Assessing Compliance Vulnerabilities
    • Same as above. Complete a detailed fraud risk assessment,
    • What is the effectiveness and efficiency of your controls?
  • Risk Mitigation Strategies
    • Case by case examples can be provided.
  • Best Practices
    • Specific design and  management of the following
      • Ethics Hot Line
      • Fraud Risk Assessment
      • Tone from the Top
      • Investigation Protocol
      • Code of Conduct and Training

 


Who Should Attend

  • Compliance and Ethics Managers               
  • Ethics Officers
  • Chief Compliance Officers
  • Compliance Managers
  • Compliance Program Directors
  • Risk and Compliance Officers
  • Legal and compliance executives
  • Other related/interested professionals

Online CLE Effective Ethics

Judy L. Woods, Of Counsel
Krieg DeVault
  1. The Importance of an Ethics and Compliance Programs to Every Organization
  2. The Difference Between Ethics and Compliance
  3. Key Elements of an Ethics/Compliance Program

Richard Arthurs CPA, CMA, CIA, CFE, CRMA, QIAL, MBA, Partner, National Leader
MNP LLP
  • Importance of an Ethics and Compliance Program
    • Ethical issues can destroy significant value for a company and an individuals professional reputation
    • Investors value companies with great ethical reputations
  • Key Considerations in Structuring an Ethics and Compliance Program
    • Understand your organizations vulnerability to fraudulent activity. Complete a fraud risk assessment. High risk requires a different approach.
    • What is the status of your controls? Do you have an ethics hotline, a code of conduct, and an investigation protocol?
    • What ethics violations have happened in the past? Could the controls allow this to happen again?
    • How strong is your tone from the top?
    • Who owns fraud investigation in your organization?
  • Assessing Compliance Vulnerabilities
    • Same as above. Complete a detailed fraud risk assessment,
    • What is the effectiveness and efficiency of your controls?
  • Risk Mitigation Strategies
    • Case by case examples can be provided.
  • Best Practices
    • Specific design and  management of the following
      • Ethics Hot Line
      • Fraud Risk Assessment
      • Tone from the Top
      • Investigation Protocol
      • Code of Conduct and Training

 


Online CLE Effective Ethics

Online CLE Effective Ethics

Judy L. WoodsOf CounselKrieg DeVault

Judy L. Woods is a member of Krieg DeVault, LLP’s Litigation Group and serves on the firm’s Professional Standards Committee. She focuses on complex commercial and “bet the company” litigation, including antitrust, class actions, shareholder and corporate governance disputes, international contracts, finance and business disputes, False Claim Act, fraud, RICO, and other business disputes. Prior to her entry into private law practice, Ms. Woods was employed as a strategic planning officer for a large national bank where she worked on bank mergers and acquisitions as well as strategic planning for all bank departments. Ms. Woods also worked for a private accounting firm, supervising fraud and abuse and compliance audit teams, particularly for organizations with Department of Labor contracts.

Online CLE Effective Ethics

Richard Arthurs CPA, CMA, CIA, CFE, CRMA, QIAL, MBAPartner, National LeaderMNP LLP

Richard Arthurs, CPA, CMA, MBA, CIA, CRMA, CFE, QIAL, is a Partner and MNP’s National Governance, Risk Management, Data and Information Dynamics Leader, based in the Calgary office. Richard has more than 25 years of experience assisting complex global organizations with their governance, risk management, internal audit, IT audit, data analytics, ethics and compliance needs. He has deep industry experience in the utilities / energy, consumer goods, retail, technology, telecommunications, not-for-profit and public sectors. Leveraging his experience leading audit and risk projects in more than 40 countries, Richard has a global perspective on the issues businesses face. He has worked with renowned organizations and has a proven track record of achieving cost-effective value-added solutions to manage priority risks and improve business processes and controls.


Click Here to Read Additional Material

Online CLE Effective Ethics

Course Level:
   Intermediate

Advance Preparation:
   Print and review course materials

Method Of Presentation:
   On-demand Webcast

Prerequisite:
   General knowledge of ethics laws

Course Code:
   148395

NY Category of CLE Credit:
   Ethics and Professionalism

Total Credits:
    2.0 CLE

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About the Knowledge Group

The Knowledge Group

The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

About the Knowledge Group

The Knowledge Group

The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

Krieg DeVault is a full-service law firm with 7 regional offices and a diversified commercial law practice that encompasses more than 30 areas of service.  For clients throughout the Midwest and across the country, Krieg DeVault provides clear, practical legal advice that takes in the big picture without losing sight of the details.  The firm is a recognized leader in areas such as commercial and civil litigation, banking and financial services, health care law, corporate and securities law, employment law and employee benefits, creditors’ rights and bankruptcy, public finance, municipal law, environmental, real estate, internal and government investigations, non-profit, education law, sports law, governmental relations, construction, tax and insurance law, as well as other fields.  The firm offers clear, practical advice based on in-depth knowledge of each client’s circumstances and needs, as well as the industry in which it operates.

 

MNP is the fifth largest accounting, tax and consulting firm in Canada. With over 5000 professionals in over one hundred faces in Canada. The MNP Consulting and Enterprise Risk Services (ERS) divisions offer world class services for thousands of clients. Our ERS group provides a diverse portfolio of services such as; Internal Audit, Enterprise Risk Management, Business Resilience, Business Process Improvement, Technology Solutions, Cyber Security, Data Analytics, Ethics Training, Internal Controls (I.e. SOX), Investigation and many other services. MNP has recruited many of the leading minds in these service areas in the country. Our Partners ensure that clients receive world class quality products and services.

Website: https://www.mnp.ca/en/

Judy L. Woods is a member of Krieg DeVault, LLP’s Litigation Group and serves on the firm’s Professional Standards Committee. She focuses on complex commercial and “bet the company” litigation, including antitrust, class actions, shareholder and corporate governance disputes, international contracts, finance and business disputes, False Claim Act, fraud, RICO, and other business disputes. Prior to her entry into private law practice, Ms. Woods was employed as a strategic planning officer for a large national bank where she worked on bank mergers and acquisitions as well as strategic planning for all bank departments. Ms. Woods also worked for a private accounting firm, supervising fraud and abuse and compliance audit teams, particularly for organizations with Department of Labor contracts.

Richard Arthurs, CPA, CMA, MBA, CIA, CRMA, CFE, QIAL, is a Partner and MNP’s National Governance, Risk Management, Data and Information Dynamics Leader, based in the Calgary office. Richard has more than 25 years of experience assisting complex global organizations with their governance, risk management, internal audit, IT audit, data analytics, ethics and compliance needs. He has deep industry experience in the utilities / energy, consumer goods, retail, technology, telecommunications, not-for-profit and public sectors. Leveraging his experience leading audit and risk projects in more than 40 countries, Richard has a global perspective on the issues businesses face. He has worked with renowned organizations and has a proven track record of achieving cost-effective value-added solutions to manage priority risks and improve business processes and controls.

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