Resources

White Papers:

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.  

The Privatization of Compliance
Scott Killingsworth, Partner, Bryan Cave LLP 

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

 

Reports:

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

 

Presentations:

Who’s the Boss (of Compliance)?
PLI Webinar – October 20, 2014 

 

Articles:

In the Spotlight: Loretta Lynch
Compliance & Ethics Professional – September/October 2013

 

Industry:

Society of Corporate Compliance and Ethics

Ethics and Compliance Officer Association

RAND Center for Corporate Ethics and Governance

Ethics Resource Center Institute of Business Ethics Good Corporation

Transparency International

Organisation for Economic Co-operation and Development  (OECD) – Anti-bribery Convention

US Federal Sentencing Guidelines (including 2010 Amendments)

National Whistleblower Center

 

Recommended Blogs:

Conflicts of Interest Blog (Jeff Kaplan)

Corruption, Crime, and Compliance Blog (Michael Volkov)

Internal Investigations Blog (James McGrath)

The FCPA Blog

FCPA Compliance and Ethics Blog (Thomas Fox)

Whistleblowers Protection Blog

Ethicscan Blog

 

Academic:

Rutgers Center for Government Compliance and Ethics

Illinois Institute of Technology (searchable index of over 800 codes of conduct)

 

Media:

The Evolution of a Compliance Officer’s Idea

The Compliance Officer’s Mission

Machiavelli’s 500-Year Old Wisdom

What Compliance Officers Do