Beyond the attorney-client privilege

By Jeffrey M. Kaplan

Jeffrey M. Kaplan (jkaplan@kaplanwalker.com) is a Partner with Kaplan & Walker LLP in Princeton, New Jersey, USA.

Should compliance and ethics (C&E) program assessments be conducted under the company’s attorney-client privilege? What about risk assessments?

Some C&E professionals are strongly opposed to use of the privilege in such assessments, based on the view that confidentiality of this sort is inimical to good C&E. I understand this thinking but want to make sure the opposing viewpoint is heard.

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