Great Expectations: CEO and CCO Certifications of Ethics & Compliance Program Effectiveness

Target Audience: Compliance, Risk Management, Internal Audit

Learning Objectives:

• Participants will have a better understanding of how the CEO and CCO certification of compliance program effectiveness came to be.
• Participants will learn about example cases where DOJ and SEC plea agreements required the compliance program attestation.
• Participants will recognize how compliance attestations will benefit their company by reinforcing risk ownership and the significance of the compliance program throughout the organization.
• Participants will leave the session with five critical steps to take when certifying, or assisting CEOs and CCOs in certifying, to the effectiveness of a company’s compliance program.