Jkaplan


Behavioral ethics and “middle-aged” compliance programs

In my latest column in the FCPA Blog  I consider  how behavioral ethics can re-energize “middle-aged” compliance programs. I hope you find it useful.

Climate Change Compliance and Ethical Habits of Mind

In a soon-to-be published article in the Iowa Law Review, Susan S. Kuo and Benjamin Means, both of the South Carolina School of Law, argue that: Unless corporations prioritize climate change mitigation, efforts to control global warming will fail. Yet, the strategies that have been proposed for enlisting corporations are […]

Compliance program assessments: the basics

Justice Holmes famously said The life of the law has not been logic: it has been experience. But when it comes to compliance and ethics (“C&E”) programs both law and experience matter. To an extent never previously seen companies are assessing their C&E programs. The main reason is that the […]

2022 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 […]

More compliance monitoring, please

Relationships between relevant C&E “checking” categories can be confusing.  For example, auditing can overlap with program assessment and with risk assessment. The line between auditing and investigations is not always well marked.  Monitoring can overlap with program governance and management. Metrics are generally part of monitoring but are sometimes discussed […]

Directors, fiduciary duties and climate change

In Directors’ Fiduciary Duties and Climate Change: Emerging Risks –  writing in the Harvard corporate governance blog – Cynthia A. Williams (York University), Sarah Barker (MinterEllison), and Alex Cooper (CCLI) state: “The last few years have seen a significant change in the understanding of climate change as a material risk to […]

Who is the client?

My latest column in Compliance & Ethics Professional.

The Marx Brothers and Risk Assessment

From Duck Soup Rufus T. Firefly now, members of the cabinet… [pounds gavel] Rufus T. Firefly we’ll take up old business. Cabinet Member : I wish to discuss the tariff. Rufus T. Firefly : Sit down, that’s new business. No old business? Very well… [pounds gavel] Rufus T. Firefly : […]

Moral hazard – the latest

As described in several earlier posts, “moral hazard” exists where there is a misalignment of incentives between those with a capacity to create risks and those likely to bear the costs of such risk taking.  While most Americans presumably are not aware of this somewhat obscure term, the phenomenon itself […]

Redefining compliance recidivism

Last week Deputy Attorney General Lisa O. Monaco  announced in the Keynote Address at the ABA’s 36th National Institute on White Collar Crime: “that all prior misconduct needs to be evaluated when it comes to decisions about the proper resolution with a company, whether or not that misconduct is similar […]