Compliance and Risk Management

In today’s business world, all companies, regardless of their size, business model and scope of activities, are required to understand and comply with a plethora of laws and regulations, including common law legal relationships with employees, creditors, and landlords; various licensing requirements imposed by federal, state, and local governments; intellectual property rights; employment laws; federal and state tax laws and regulations, including the reporting obligations imposed under such laws; domestic and foreign laws regulating technology transfers and the form and content of many common commercial relationships; federal and state statutes relating to antitrust and unfair competition; governance rules and regulations; federal and state laws relating to privacy and data security; federal and state securities laws; and federal and state statutes relating to consumer protection and other matters.  Recognizing the various legal and regulatory requirements that must be understood and satisfied, it is imperative for companies to create and faithfully administer appropriate compliance programs.


Checklists and Questionnaires

Labor Ethics Questionnaire

Risk Assessment Questionnaire (Project)

Risk Assessment Questionnaire


Compliance Management System RFP Template


Chapters or Articles in Books

Protecting Personal Data

Articles in Journals

Governance in an Era of Compliance

Government and Other Public Domain Publications

Conducting Effective Compliance and Risk Assessments

Enterprise Risk Management

Health Care Director’s Compliance Duties

Online Articles

Chief Compliance Officer vs. General Counsel

Conducting Effective Investigations

Essential Elements of Corporate Compliance

Ethics Officers and Ethics Programs


West Legal Ed Center