Archive for 2018

A short post on directors’ compliance duties

From the most recent issue of Compliance & Ethics Professional (p 3 of PDF). I hope you find it interesting.

Hire the guilt prone

In a recent edition of Knowledge at Wharton, Maurice Schweitzer of that school discusses a paper, “Who is Trustworthy? Predicting Trustworthy Intentions and Behavior,” he co-authored with T. Bradford Bitterly, a postdoctoral research fellow at the University of Michigan’s Ross School of Business, Taya R. Cohen, a professor at Carnegie […]

Compliance officers as entrepreneurs?

In a paper recently published by Boston University School of Law – The Law Office (LO) and Compliance Officer (CO): Status, Function, Liabilities, and Relationship  – Emerita Professor Tamar Frankel of that school quotes a former SEC official (John Walsh, then Chief Counsel, Office of Compliance Inspections and Examinations) as […]

I’ll be speaking on behavioral ethics with

Azish Filabi of  Ethical Systems at Navex’s Ethics & Compliance Virtual Conference on November 8. We hope you can join us.

New on the Compliance Program Assessment Blog

A post on confidentiality and C&E assessments. Rebecca Walker and I hope you find it useful.

New on the Compliance Program Assessment Blog

An excellent guest post by the always excellent Joe Murphy on certifications as a form of program evaluations.

Moot compliance court for corporate directors?

In their paper, “Short-Changing Compliance,”  John Armour (University of Oxford), Jeffrey N. Gordon (Columbia Law School), Geeyoung Min (Columbia Law School), argue: “Corporate compliance programs play a central role in society’s current response. Prosecutors give firms incentives—through discounts to penalties—to implement compliance programs guiding and monitoring employees’ behavior. However, focusing on the […]

Imagine the real

  An early post on this blog noted that among the more interesting phenomena of behavioral ethics was the impact that knowing or not knowing a party could have on how one treated that party. A set of circumstances that is relatively likely to lead to an ethical shortfall is where we do […]

The parade of horribles

My latest column in Compliance & Ethics Professional (page 3 of PDF). I hope you enjoy it.

A free SCCE podcast on conflicts of interest

 I hope you find it useful