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
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
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
Organisation for Economic Co-operation and Development (OECD) – Anti-bribery Convention
US Federal Sentencing Guidelines (including 2010 Amendments)
Recommended Blogs:
Conflicts of Interest Blog (Jeff Kaplan)
Corruption, Crime, and Compliance Blog (Michael Volkov)
Internal Investigations Blog (James McGrath)
FCPA Compliance and Ethics Blog (Thomas Fox)
Whistleblowers Protection 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
