An Ounce of Prevention: Creating an Effective Compliance and Ethics Program

Content Provider
Run Time
72 Minutes
Recording Date
Paul McGreal, Kristen Arquilla, Steve Berstler
Learning Method
On-Demand Training
Practice Area

Price $159.00

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Compliance programs strive to ensure that all employees follow the law and abide by their corporation’s ethical principles. Compliance programs also play a crucial role in the business operations of today’s corporations and can directly influence important business decisions. In an era of increased regulation and enforcement efforts, corporations must proactively ensure that they are compliant and that their employees act in an ethical manner. In turn, remaining or becoming fully compliant requires a comprehensive compliance and ethics program to be in place before any issues arise and employees must be trained to see red flags and respond to them in a lawful and ethical manner.

The focus of this course is to explain the importance of having a thorough and effective compliance and ethics program, the key elements of an effective compliance and ethics program, and best practices that will help your company, firm, and clients with their compliance programs. Paul McGreal, Dean of the University of Dayton School of Law, will: (1) provide a broad overview of effective compliance and ethics programs; (2) outline the 10 elements of an effective compliance and ethics program; (3) discuss the importance of taking independent contractors into consideration when formulating compliance programs; (4) suggest useful sources of compliance guidance and other helpful resources; and (5) share valuable best practices for attorneys and corporations and common compliance missteps to avoid.
See CLE State Accreditation for credit details.
If you are licensed in New York, this content is appropriate for both newly admitted and experienced New York attorneys. Although, this content is appropriate for all New York attorneys, newly admitted attorneys cannot earn CLE credit for the completion of the course when presented via on-demand.


State Status Total Credits Type Of Credit Approved Thru
New JerseyApproved1.00Professionalism12/31/2029
New YorkApproved1.00ProfessionalismOn-going
West VirginiaApproved1.40EthicsOn-going