2014 Rand Symposium:
The following invited RAND white papers were presented at the May 28 RAND Symposium “Transforming Compliance: Emerging Paradigms for Boards, Management, Compliance Officers and Government” and are included in the final proceedings report issued in September 2014, available for download here. They are provided here in pre-publication format.
Redefining the Relationship of the General Counsel and the Chief Compliance Officer
Michael Volkov, CEO, The Volkov Law Group
Compliance & Ethics as a Profession – In the Public Interest
Joseph Murphy, Director of Public Policy, Society of Corporate Compliance and Ethics
Learning the Hard Way: Ethics and Compliance Program Lessons Gleaned from Recent U.S. Resolution Agreements
Peter Jaffe, Chief Ethics and Compliance Officer, The AES Corporation &
Michael Diamant, Parter, Gibson, Dinn & Crutcher LLP
RAND 2013 Symposium:
The following three resources are invited RAND white papers presented at a RAND Symposium entitled “Culture, Compliance and the C-Suite” from May 2, 2013, and were published in late summer 2013 as a part of the final symposium report, available here.
“C” is for Crucible: Behavioral Ethics, Culture, and the Board’s Role in C-Suite Compliance
Scott Killingsworth, Partner, Bryan Cave LLP
Compliance in the C-Suite
Michael Volkov, CEO, Volkov Law Group LLC
Prosecution of Frauds and Crimes in the C-Suite: What Can We Learn from These Cases and Trends?
Stanley R. Stoya, Partner, Pepper Hamilton LLP
Excepts from The Complete Compliance & Ethics Manual, Second Edition:
Twenty Questions That Boards Of Directors Should Ask About Compliance And Ethics
Basel Committee on Banking Supervision
Compliance and the Compliance Function in Banks
Bank for International Settlements, April 2005
Who’s the Boss (of Compliance)?
PLI Webinar – October 20, 2014