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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.