Behavioral ethics and compliance: an index

The COI Blog was launched two and a-half years ago today – and since then has been devoted primarily to examining conflicts of interest. But it has also run a number of posts on what behavioral ethics might mean for corporate compliance programs and, because of the ever increasing interest in this area,  I thought that having  a topical  index to these latter posts could be useful – particularly for those new to either behavioral ethics or corporate compliance, with the topics in question being principally compliance tools and risk areas. Note, however, that to keep this list to a reasonable length I’ve put each post under only one topic, but many in fact relate to multiple topics (particularly the risk assessment ones).

INTRODUCTION 

Overview of the need for behavioral ethics and compliance

BEHAVIORAL ETHICS AND COMPLIANCE PROGRAM COMPONENTS

Risk assessment

“Inner controls”

– Is the Road to Risk Paved with Good Intentions?

Slippery slopes

Senior managers

Long-term relationships

– How does your compliance and ethics program deal with “conformity bias”? 

– Money and morals: Can behavioral ethics help “Mister Green” behave himself? 

Communications and training

Behavioral ethics and just-in-time communications

Values, culture and effective compliance communications

Behavioral ethics teaching and training

Moral intuitionism and ethics training

Accountability

– Behavioral Ethics and Management Accountability for Compliance and Ethics Failures

– Redrawing corporate fault lines using behavioral ethics

Whistleblowing

– Include me out: whistleblowing and a “larger loyalty”

Incentives/personnel measures

– Hiring, promotions and other personnel measures for ethical organizations

Board oversight of compliance

Behavioral ethics and C-Suite behavior

– Behavioral ethics and compliance: what the board of directors should ask

Corporate culture

– Too close to the line: a convergence of culture, law and behavioral ethics

Appropriate responses to violations

Exemplary ethical recoveries

BEHAVIORAL ETHICS AND SUBSTANTIVE AREAS OF COMPLIANCE RISK

Conflicts of interest/corruption

– Does disclosure really mitigate conflicts of interest?

Disclosure and COIs (Part Two)

Other people’s COI standards

Gifts, entertainment and “soft-core” corruption

– The science of disclosure gets more interesting – and useful for C&E programs

Gamblers, strippers, loss aversion and conflicts of interest

Insider trading

– Insider trading, behavioral ethics and effective “inner controls” 

Insider trading, private corruption and behavioral ethics

Legal ethics

Using behavioral ethics to reduce legal ethics risks

OTHER POSTS ABOUT BEHAVIORAL ETHICS AND COMPLIANCE

An ethical duty of open-mindedness?

How many ways can behavioral ethics improve compliance?

– Meet “Homo Duplex” – a new ethics super-hero?

 

One Comment
  1. wayne brody 3 years ago

    Jeff- Thanks for this. I’ve picked up many a valuable insight from your own work, and many valuable links to the insights of others. Breaking down barriers between disciplines and “connecting the dots” between academic research and practical application contribute greatly to success of the ethics and compliance project over all.

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