Archive for 2018

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

Webinar on C&E program assessment

On September 28, Rebecca Walker and I will be leading a Practising Law Institute One-Hour Briefing on assessing  compliance & ethics programs. More information on the webinar can be found here. We hope you can join us.

Our fiduciary future?

There is, of course, no one body of law governing all conflict-of-interest issues. But the law regarding fiduciary duty comes closer to doing so than does any other body of law. In “The Rise of Fiduciary Law,” recently posted on the Harvard Law School Forum on Corporate Governance and Financial […]

Conflict of interest self assessments

C&E program assessments sometimes have a general scope and sometimes are focused on a single substantive risk area – such as corruption or competition law. For some companies it makes sense to do such a targeted assessment for conflicts of interests – particularly those responding to a significant COI violation […]

Assessing compliance incentives

The latest from the Compliance Program Assessment Blog. Rebecca Walker and I hope you find it useful.

Disclosure’s two-edged sword

Several prior posts reviewed the findings of various studies which raised questions about the efficacy of disclosure as a COI mitigant, including that: – Disclosure can “morally license” the conflicted party to act in a COI-based way. – Individuals impacted by the COI may not fully understand/be aware of what is […]

How to assess compliance investigations

The latest post by Rebecca Walker and me in the Compliance Program Assessment Blog. We hope you find it useful.