© Practising Law Institute
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Advanced Compliance and Ethics Workshop
2016
CORPORATE LAW AND PRACTICECourse Handbook Series
Number B-2276
Co-ChairsRebecca WalkerJeffrey M. Kaplan
© Practising Law Institute
17
Annual Compliance Program & Risk Assessment Report: Compliance Program Meetings (January 2016)
Michael Ward
Vice President & Chief Compliance Officer Juniper Networks
Copyright © 2014 Juniper Networks, Inc.
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Ann
ual C
ompl
ianc
e P
rogr
am
& R
isk
Ass
essm
ent R
epor
t
Mic
hael
War
d
Chi
ef C
ompl
ianc
e O
ffice
r
Com
plia
nce
Pro
gram
Mee
tings
, Jan
uary
201
6
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Fed
eral
Sen
ten
cin
g G
uid
elin
e R
equ
irem
ent
Bes
t Pra
ctic
esC
urr
ent A
cme
Co
.A
ctio
n It
ems
• • • • •
• • • • •
• • • • • • •
• •
Alig
nmen
t to
FS
G S
tand
ards
for
an
Effe
ctiv
e C
ompl
ianc
e P
rogr
am
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Fed
eral
Sen
ten
cin
g G
uid
elin
e R
equ
irem
ent
Bes
t P
ract
ices
Cu
rren
t Acm
eC
o.
Act
ion
Item
s
• •
• • • • • •
• • • • • • • • •
• • • •
Alig
nmen
t to
FS
G S
tand
ards
for
an E
ffect
ive
Com
plia
nce
Pro
gram
283
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Fed
eral
Sen
ten
cin
g G
uid
elin
e R
equ
irem
ent
Bes
t Pra
ctic
esC
urr
ent A
cme
Co
.A
ctio
n It
ems
• • • • •
• • • • • • •
• • • • •
• • •
Alig
nmen
t to
FS
G S
tand
ards
for
an
Effe
ctiv
e C
ompl
ianc
e P
rogr
am
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Fed
eral
Sen
ten
cin
g G
uid
elin
e R
equ
irem
ent
Bes
t P
ract
ices
Cu
rren
t Acm
eC
o.
Act
ion
Item
s
• • • • • •
• • • • • •
• • •
Alig
nmen
t to
FS
G S
tand
ards
for
an
Effe
ctiv
e C
ompl
ianc
e P
rogr
am
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Acm
e S
oftw
are
Co.
Com
plia
nce
Ris
k D
ashb
oard
• • • • • • • • • • • • • • •
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Exp
ecte
d C
on
seq
uen
ce/Im
pac
t of
Eve
nt
Inherent Likelihood of Event1.
Ant
i-Cor
rupt
ion
(FC
PA
)
2.A
ntitr
ust/C
ompe
titio
n
3.O
nlin
e S
ervi
ces
4.C
onfli
cts
of In
tere
st
5.E
mpl
oym
ent
6.E
xpor
t Con
trol
s
7.G
over
nmen
t C
ontr
actin
g
8.G
over
nmen
t R
elat
ions
9.In
form
atio
n P
rivac
y:
10.I
ntel
lect
ual P
rope
rty
11.M
arke
ting/
Tra
dem
arks
12.R
ecor
ds R
eten
tion
& In
form
atio
n
Man
agem
ent
(RIM
)
13.R
even
ue R
ecog
nitio
n/S
ide
Lette
rs
14.S
ecur
ities
/Insi
der
Tra
ding
2
3
12
5
10
11
8
Co
mp
lian
ce R
isks
13
14
169a
4
7
Ass
esse
d E
ffec
tive
nes
s o
f C
on
tro
ls
Acm
e C
o. C
ompl
ianc
e R
isk
Hea
t Map
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Ris
k A
sses
smen
t Crit
eria
• • • • • • • • • • • • • • • • • • • •
• •
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• •
Ant
i-Cor
rupt
ion
289
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• •
Ant
itrus
t/Com
petit
ion
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• • •
Onl
ine
Pro
duct
s &
Ser
vice
s
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• • •
Con
flict
s of
Inte
rest
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• • •
Em
ploy
men
t
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• • • •
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• •
Gov
ernm
ent C
ontr
actin
g
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• • •
Gov
ernm
ent R
elat
ions
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• • • •
Info
rmat
ion
Priv
acy
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© Practising Law Institute
• • •
Inte
llect
ual P
rope
rty
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• • •
Mar
ketin
g/Tr
adem
arks
299
© Practising Law Institute
•
Rec
ord
Ret
entio
n an
d In
form
atio
n M
anag
emen
t (R
IM)
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• • •
Rev
enue
Rec
ogni
tion/
Sid
e Le
tters
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© Practising Law Institute
• • • •
Sec
uriti
es/In
side
r Tr
adin
g
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• • • • • • • • • • • • • •
• • • • •
• • • •
• • • •
• • • • • •
Ris
k A
sses
smen
t Rat
ing
Sca
les
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Tha
nk y
ou
304
© Practising Law Institute
NOTES
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© Practising Law Institute
NOTES
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