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Inside Track with Broc: Jeff Kaplan on Board Oversight of Compliance (12/10/12)


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:

  • What are the important legal drivers for board oversight of compliance programs?
  • What sort of compliance program operational information should boards receive?
  • What information should they receive about individual calls to the hotline involving sensitive matters?
  • How should reporting obligations be reflected in program governance documentation?

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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.