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Corporate Risk and Compliance: Theory and Practice
Section 4 . 1

Objectives and Discussion Questions

Kim Otte

We will discuss the role of compliance versus the role of legal in a corporation. While they are adjacent functions and can complement one another, they can also suffer from ambiguity and overlapping roles. We will study the maturity model for a compliance program in a corporation and how that is an important strategic measure related to overall governance of an effective compliance program.

Discussion Questions:

1. How would you define the role of a compliance professional in a corporation in distinction from the role of a legal professional?

2. Was there a "CCO" or compliance leader in your scandal? What role did they play? Were they targeted or brought into the prosecution/enforcement in any way?

3. Do you think that the lead compliance officer should or should not report to the General Counsel? Why?

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