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Ethics: Elements of an Effective Compliance Program

Contains material from Sep 2015

Ethics: Elements of an Effective Compliance Program
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Good overview of an effective compliance program that works.

Clear, crisp, well-articulated.

Very well done.

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Session 1: Elements of an Effective Compliance Program - 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.

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1. Elements of an Effective Compliance Program (Sep 2015)

Neil L. Levy, David Louw, Tom Nuelle

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59 mins
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6 pgs
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