eCourse
Ethics: Elements of an Effective Compliance Program
Contains material from Sep 2015
Good overview of an effective compliance program that works.
Clear, crisp, well-articulated.
Very well done.
Technical Questions?
512.475.6700
service@utcle.org
Includes: Audio Slides
Preview Sessions
Show session details
Neil L. Levy, David Louw, Tom Nuelle
Download session materials for offline use
Session 1
—59 mins
Elements of an Effective Compliance Program (Sep 2015)
Compliance programs are having to evolve beyond checklists and procedures to address the sometimes vague or conflicting regulations and interpretations. An effective compliance program must consider the “black letter” rules but must also address the spirit and intent of those rules. To be effective, a company’s enforcement and compliance program must be proactive and readily capable of adjusting to a changing regulatory landscape. Gain insight on effective compliance programs from both an operational and trading perspective.
Originally presented: Sep 2015 Gas and Power Institute
Neil L. Levy,
Partner, King & Spalding LLP - Washington, DC
David Louw,
Macquarie Energy Capital - Houston, TX
Tom Nuelle,
Chief Compliance Officer, BP Energy Company - Houston, TX