Providing practical guidance for over 50 years.
  

Inside Track with Broc: Jeff Kaplan on Independence Intersection of Compliance Officers & GCs (1/29/14)

 

Jeff Kaplan is a Founder and Partner of Kaplan & Walker LLP

In this podcast, Jeff explains the latest developments in how boards oversee compliance programs, including:

  • Based on a recent Wall Street Journal article, the issue of whether the compliance officer should report to the general counsel continues to be the considerable focus of regulators and companies. Where do you come down on this?
  • When it comes to administrative reporting, is there a middle ground - meaning something between skipping the GC altogether and giving them unfettered discretion in supervising the compliance officer?
  • Are there other areas where you think some companies may be going overboard?
  • Compliance programs have now been mainstream for a while - do you have any other recommendations for keeping a program fresh?

You have two choices about how to listen:

  1. Streaming Audio (for faster play)
     

  2. Download Audio (to place on iPod, etc.)

How to Listen to This Podcast: Simply click on the link above and your computer likely will enable you to listen to the podcast (after a few moments, as Windows Media Player or RealPlayer launches and opens the audio file). If you don't have Windows Media Player or RealPlayer (or a similar software application), you should download one of those audio-players first. Also note that some members choose to download our podcasts to a MP3 player or iPod so that they can listen to the program away from their office.

The views set forth in the podcast are the speaker's personal views and do not necessarily reflect those of the firm with which he is associated.