Archive for 2021

Compliance program standards of proof

The Chauvin trial in Minneapolis has caught the attention of much of the US, and rightly so, given the importance of the issues it raises and the highly compelling nature of the proof in the court. The case – like many highly public prosecutions – also provides the occasion for […]

A behavioral ethics and compliance primer

Published by Ethical Systems.

In praise of Goldilocks compliance

My latest column in C&E Professional. I hope you find it useful.

Defamation as a compliance risk area

Dominion Voting Systems recently sued Fox News and two of President Trump’s former lawyers – Sydney Powell and Rudolph Giuliani – for their statements that Dominion had engaged in election fraud in connection with the 2020 presidential election. This could have profound adverse affects on the defendants. (Among other things, […]

Moral hazard and ethical habits of mind

“Moral hazard” means the provision of incentives that encourage unduly risky conduct by shifting the impact of a bad decision to a party other than the decision maker.   Perhaps the most consequential area of moral hazard ever is climate change, as those individuals most likely to bear the brunt of […]

Conflicts of interest: the role of norms

There has lately been much discussion of norms in the realm of politics and governance.  But norms are also important in the business world, particularly  those established within a profession. In Regulating Conflicts of Interest Through Public Disclosure: Evidence From a Physician Payments Sunshine Law, Matthew Chan of William College […]

Assessing your conflict of interest compliance program

Under Department of Justice standards for the government’s evaluating compliance & ethics (C&E) programs companies should undertake program self-assessments from time to time. What does this entail? At a minimum, it should include assessing the general components of the C&E program (e.g., compliance office, helpline, training) as well as corporate […]

Liability of corporate officers: new developments

The liability of corporate directors is well-trod territory.   But what about corporate officers? In a recent issue of the Harvard Law School Forum on Corporate Governance          /    Edward Micheletti, Bonnie David and Andrew Kinsey of  Skadden, Arps, Slate, Meagher & Flom LLP, write: “More than a decade ago in the […]

Compliance thought experiments

My latest article in CEP. I hope you enjoy it.

“Maginot Line” compliance

A post in the FCPA Blog on spending too much effort looking backward in risk assessments. I hope you rind it interesting.