2023 behavioral ethics and compliance index

2023 behavioral ethics and compliance index While in the more than ten years of its existence the COI Blog has been devoted primarily to examining 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 a) 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 and communication ones); and b) there is some overlap between various of the post.INTRODUCTION – 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

Mitigating Project Risks – The Under-Discovered Country | Conflict of Interest Blog

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.html

 

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 Whistleblowing | Conflict of Interest Blog

 

Incentives/personnel measures

– http://conflictofinterestblog.com/2022/12/hiring-ethical-employees.html

– http://conflictofinterestblog.com/2022/11/ethics-slobs-the-opposite-of-ethics-champions.html

 

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 value for our 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?

 

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