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SCCE TBD Regional
Compliance & Ethics Conference

Compliance and Ethics Risk Assessment: The Foundation of an Effective C&E Program

9:45 AM AKT – 10:45 AM AKT

We are actively monitoring attendance. At random times throughout this session, you will be prompted with a pop-up to confirm that you are still actively participating in the virtual session. You will not see the pop ups if you are in full screen mode or your pop-up blocker is on. In addition, make sure you are disconnected from any VPN as they can also cause interference and that you have a stable internet connection (hard line is always best).Active attendance monitoring is only required if you will be requesting external CEUs for NASBA or CLE credits. If you only need Compliance Certification Board (CCB)® CEUs, it is not required to participate in active monitoring.

Learning Objectives:

  • Why a thorough understanding of C&E risks can help make every aspect of your compliance program more effective: From training and communications to board oversight, to auditing and monitoring
  • How to create effective, continuous risk assessment methodologies and use the results of risk assessment to enhance your program
  • The importance of sharing risk assessment results with senior leaders and the board and how to avoid those things that can go wrong


Amii Barnard-Bahn
Executive Coach, Bestselling Author, Speaker, Barnard-Bahn Coaching & Consulting

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Rebecca Walker
Partner, Kaplan & Walker LLP

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