The Seven Elements of an Effective Compliance Program

We have compiled and organized all of the decks and recordings for our Seven Elements of an Effective Compliance Program Webinars below.  We will add to this library as we offer more Webinars. 

Webinar/
Date Presented

Topics Covered

File Downloads

Session 1
November 06, 2015 
Introduction 
Providing Context for the Seven Elements of an Effective Compliance Program
Session 1
Session 2
December 04, 2015
Element 1
Standards of Conduct and Policies and Procedures
Session 2
Session 3
January 08, 2016 
Element 2
Governance, Oversight, and Delegation of Authority 
Session 3 
Session 4
February 05, 2016 
Element 3
Risk Assessment, Auditing and Monitoring 
Session 4 
Session 5
March 04, 2016 
Element 4
Compliance Education and Training 
Session 5 
Session 6
April 01, 2016 
Element 5
Enforcement, Discipline, and the Role of a Culture for Compliance 
Session 6 
Session 7
May 07. 2016 
Element 6
Communication, the use of Compliance Hotlines, and Other Methods of Fostering
engagement with the Compliance Office 
Session 7 
Session 8
June 13, 2016 
Element 7
Response, Conducting Investigations, and Reporting 
Session 8