Establishing compliance and ethics duties

by Jeffrey M. Kaplan

Jeffrey M. Kaplan (jkaplan@kaplanwalker.com) is a Partner with Kaplan & Walker LLP in Princeton, NJ.

Establishing the right duties related to compliance and ethics (C&E) — particularly for management and the board of directors — can be of paramount importance in the success of a program. What should C&E professionals bear in mind in undertaking this task?

First, in addition to identifying the C&E duties of all employees, the code of conduct should have a separate discussion of managers’ duties. Among the latter should be maintaining a work environment in which employees feel free to report possible violations, following the company’s escalation policy should any such matters be reported to them and helping to ensure that C&E controls are operating as intended.

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