Best Practices for Performing Compliance Program Assessments: An Interview with Jeffrey Kaplan of Kaplan & Walker

Continuous improvement, achieved by ongoing testing and monitoring, is one of the hallmarks of an effective compliance program.  The Anti-Corruption Report’s series on compliance program assessments illuminates how companies can use such assessments to meet their ongoing monitoring responsibilities.  In this first interview in the series, the Anti-Corruption Report spoke with Jeffrey Kaplan, a partner at Kaplan & Walker with more than 25 years of experience assisting companies in assessing their compliance programs.  He discussed how program assessments differ from general risk assessments, the basic steps for such an assessment and when a company should specifically target the anti-corruption program for assessment.  For more on risk assessments in general see “Conducting Effective Anti-Corruption Risk Assessments: An Interview with David Simon, Partner at Foley & Lardner” (Nov. 20, 2013); and “An Interview with Kevin Bennett, Managing Director, Forensic and Valuation Services, at Grant Thornton” (Dec. 4, 2013).

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