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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?

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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.