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Fall Journal

Volume 27, Issue 4

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Compliance & Ethics Risk Assessment – 6 Key Points

1. Deploy assessment methodologies that are tailored to key compliance risk areas.

Risk assessment is not alone about measuring corporate culture; an effective assessment process will also examine closely “substantive” areas of law/policy, and this, in turn, necessitates having an analytic framework for each such area, as they do vary.

By way of example, here is an article on how to assess conflicts of interest risks and here is one on competition law risks. (Future articles in this column will explore assessment frameworks for corruption, insider trading and fraud, among other risk areas.)

To read the article, please click here: