Best Practices for Performing Compliance Program Assessments:  An Interview With Susan Markel of AlixPartners

Last week, both the SEC and DOJ settled with Massachusetts-based software firm PTC and, as part of the non-prosecution agreement, the DOJ once again outlined what it expects from compliance programs, including a “periodic risk-based review.” The DOJ recommended that such reviews assess the risks the company faces but also look at the anti-corruption policies and procedures to ensure their continued effectiveness. These program assessments can take different shapes and forms, and can involve a variety of in-house and outside experts. To get an auditor’s perspective on program assessments, the Anti-Corruption Report spoke with Susan Markel of AlixPartners about the benefits of program assessments and how teams of lawyers and auditors can work together to perform such assessments effectively and efficiently. See “Best Practices for Performing Compliance Program Assessments: An Interview With Jeffrey Kaplan of Kaplan & Walker” (Nov. 4, 2015).

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