2024 Behavioral Ethics & Compliance Index

Jeffrey M. Kaplan

While in the more than twelve years of its existence the Conflict of   Interest Blog has been devoted primarily to examining traditional conflicts of interest it has also run quite a few posts on what behavioral ethics might mean for corporate compliance and ethics programs. Below is an updated version of a topical index to these latter posts.  Note that to keep this list to a reasonable length I have put each post under only one topic, but many in fact relate to multiple topics (particularly the risk assessment and communication ones). Finally, note that I have added “moral hazard” to the index. While not the same thing as behavioral ethics (moral hazard is mostly rooted in economics whereas behavioral ethics is rooted mostly in psychology), there is nonetheless substantial overlap between the two. I expect we will  hear more about the intersection of these areas in the future.  

INTRODUCTION AND OVERVIEW Business ethics research for your whole company (with Jon Haidt) Overview of the need for behavioral ethics and compliance  – Behavioral ethics and compliance: strong and specific medicine Behavioral C&E and its limits Another piece on limits Behavioral compliance: the will and the way – Behavioral ethics: back to school edition – A valuable behavioral ethics and compliance resource – Strengthening your C&E program through behavioral ethics –  Ethics made easy   Have you checked your behavioral externalities? – A behavioral ethics and compliance primer  Happy anniversary, Corporate Sentencing Guidelines.  

BEHAVIORAL ETHICS AND COMPLIANCE PROGRAM COMPONENTS
Risk assessment –  Being rushed as a risk –  Too big for ethical failure? – “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?  – Risk assessment and “morality science”  Advanced tone at the top  Sweating the small stuff – The risk of good intentions –– http://conflictofinterestblog.com/2022/02/loyalty-as-an-ethics-risk.html – http://conflictofinterestblog.com/2022/12/mitigating-project-risks-the-under-discovered-country.html – http://conflictofinterestblog.com/2022/12/behavioral-ethics-expanding-notions-of-risk.html  

Communications and training – “Point of risk” compliance –  Publishing annual C&E reports – Behavioral ethics and just-in-time communications – Values, culture and effective compliance communications – Behavioral ethics teaching and training – Moral intuitionism and ethics training – Reverse behavioral ethics – The shockingly low price of virtue – Imagine the real – Behavioral ethics training for managers  

Assessments and audits – Behavioral ethics program assessments – http://conflictofinterestblog.com/2022/02/auditing-the-auditors.htmlv – See later post for more on assessments  

Positioning the C&E office – What can be done about “framing” risks – Compliance & ethics officers in the realm of bias  Behavioral ethics, the board and C&E officers  Lawyers as compliance officers: a behavioral ethics perspective  

Accountability – Behavioral Ethics and Management Accountability for Compliance and Ethics Failures – Redrawing corporate fault lines using behavioral ethics The “inner voice” telling us that someone may be watching –  The Wells Fargo case and behavioral ethics  

Whistle-blowing –  http://conflictofinterestblog.com/2022/02/ –  Include me out: whistle-blowing and the larger loyalty” – Behavioral Ethics and Whistle-Blowing  

Incentives/personnel measures – http://conflictofinterestblog.com/2022/12/hiring-ethical-employees.html – http://conflictofinterestblog.com/2022/11/ethics-slobs-the-opposite-osf-ethics-champions.html See also posts on moral hazard below  

Board oversight of compliance – Behavioral ethics and C-Suite behavior – Behavioral ethics and compliance: what the board of directors should ask   

Corporate culture – Is Wall Street a bad ethical neighborhood? – Too close to the line: a convergence of culture, law and behavioral ethics –  Ethical culture and ethical instincts  

Values-based approach to C&E  A core for our values based behavioral age – Values, structural compliance, behavioral ethics …and Dilbert  

Responding 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 – COIs and “magical thinking” – Inherent conflicts of interest – Inherent anti-conflicts of interest – Conflict of interest? Who decides? – Specialty bias – Disclosure’s two-edged sword – Nonmonetary conflicts of interest – Charitable contributions and behavioral ethics – More on conflicts of interest disclosure

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  

PROGRAM SCOPE http://conflictofinterestblog.com/2022/11/ethics-slobs-the-opposite-of-ethics-champions.html http://conflictofinterestblog.com/2022/06/the-full-promise-of-compliance-and-ethics-programs.html http://conflictofinterestblog.com/2022/04/what-does-the-e-in-your-ce-program-stand-for.html http://conflictofinterestblog.com/2022/02/compliance-officers-as-ministers-for-the-future.html http://conflictofinterestblog.com/2022/01/climate-change-compliance-and-ethical-habits-of-mind.html http://conflictofinterestblog.com/2022/01/behavioral-ethics-and-middle-aged-compliance-programs.htm http://conflictofinterestblog.com/2022/03/handling-undue-pressure-the-role-of-the-compliance-and-ethics-office.html                                    

OTHER POSTS ABOUT BEHAVIORAL ETHICS AND COMPLIANCE – New proof that good ethics is good business – How ethically confident should we be? – An ethical duty of open-mindedness? – How many ways can behavioral ethics improve compliance? – Meet “Homo Duplex” – a new ethics super-hero? – Behavioral ethics and reality-based law – Was the Grand Inquisitor right (about compliance)? – Is ethics being short-changed by compliance?

Program Assessment and risk assessment https://conflictofinterestblog.com/2023/10/combining-conflict-of-interest-program-and-risk-assessments.html https://conflictofinterestblog.com/2023/06/risk-assessment-for-small-companies.html https://conflictofinterestblog.com/2023/11/the-value-of-starting-simple-a-risk-assessment-spreadsheet.html https://conflictofinterestblog.com/2023/01/conflict-of-interest-program-assessments.html  

MORAL HAZARD https://ideasandanswers.com/compliance-incentives-risk-assessment-and-moral-hazard/ https://conflictofinterestblog.com/2023/03/a-moral-hazard-moment-for-the-department-of-justice.html https://fcpablog.com/2021/05/10/white-collar-enforcement-is-about-closing-the-moral-hazard-gap/ https://conflictofinterestblog.com/2021/03/moral-hazard-and-ethical-habits-of-mind-2.  

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