| Front Matter |
Michael E. Horowitz ~
Rebecca Walker ~
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| Faculty Bios |
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| Table of Contents |
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| Chapter 1: The Evolution of the Law of Corporate Compliance in the United States: A Brief Overview |
Rebecca Walker ~ Kaplan & Walker LLP
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| Chapter 2: Why Comply? Organizational Guidelines Offer a Safer Harbor in the Storm |
Paul Fiorelli ~ Xavier University
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| Chapter 3: An Overview of Corporate Compliance and Ethics Programs |
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| Chapter 4: Risk Assessments |
Jacqueline E. Brevard ~ Merck & Co., Inc.
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| Chapter 5: Building Ethics, Compliance Risks Into ERM |
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| Chapter 6: Creating an Ethical Corporate Culture and Best Practices in Training |
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| Chapter 7: Thinking About Training |
Jeffrey M. Kaplan ~ Kaplan & Walker LLP
Rebecca Walker ~ Kaplan & Walker LLP
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| Chapter 8: Creating an Ethical Corporate Culture and Best Practices in Training |
Leonard H. Shen ~ American Express
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| Chapter 9: Speech by SEC Staff: Remarks Before the New York City Bar: My First 100 Days as Director of Enforcement, by Robert Khuzami, Director, Division of Enforcement, New York, New York, August 5, 2009 |
Rebecca Walker ~ Kaplan & Walker LLP
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| Chapter 10: How the SEC Will Credit Compliance Programs in Enforcement Decisions |
Dana H. Freyer ~ Skadden, Arps, Slate, Meagher & Flom LLP
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| Chapter 11: The Changing Roles of Directors as a Result of the Financial Crisis |
Deborah Prutzman ~ The Regulatory Fundamentals Group LLC
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| Chapter 12: Community Reinvestment Act |
Deborah Prutzman ~ The Regulatory Fundamentals Group LLC
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| Chapter 13: Leveraging Resources: How the Current Financial Crisis Has Changed the Face of Compliance |
Melissa M. Allain ~ Attorney Former Ethics Officer and Laboratory Counsel Lawrence Livermore National Laboratory
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| Chapter 14: Truth Or Dare: Navigating the Minefield of Voluntary Disclosures |
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| Chapter 15: Responding to and Investigating Compliance Concerns: The How-To’s of Internal Investigations |
Sam Pailca ~ Microsoft Corporation
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| Chapter 16: Surviving Scrutiny of Your Compliance Program: Perspectives from a Former Federal Prosecutor |
Carlos Singh ~ Ernst & Young LLP
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| Chapter 17: Mitigating the Fear of Retaliation: Helping Employees Feel Comfortable Reporting Suspected Misconduct |
Rebecca Walker ~ Kaplan & Walker LLP
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| Chapter 18: What Is the M-A-T-E-R-I-A-L for a Board |
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| Chapter 19: Boards of Directors, Moral Hazard and Corporate Compliance Programs |
Jeffrey M. Kaplan ~ Kaplan & Walker LLP
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| Chapter 20: The Importance of Board Oversight of a Company’s Compliance Program: The Implications of Stone V. Ritter |
Rebecca Walker ~ Kaplan & Walker LLP
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| Chapter 21: Are You Training Your Board? A Benchmarking Survey |
Rebecca Walker ~ Kaplan & Walker LLP
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| Chapter 22: The Role of the Board in Compliance Programs: An Interview with Andrew N. Liveris, Chairman and Chief Executive Officer of the Dow Chemical Company |
David G. Wilkins ~ The Dow Chemical Company
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| Chapter 23: Responsible Corporations Should Get More Than Mitigation When They Work Diligently to Prevent and Detect Wrongdoing |
Paula J. Desio ~ Former Deputy General Counsel, U.S. Sentencing Commission
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| Chapter 24: Creating Compliance and Ethics Programs: The Latest from the Department of Justice |
Jeffrey M. Kaplan ~ Kaplan & Walker LLP
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| Chapter 25: Partnering with Hr—Better, Faster, Stronger Ethics |
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| Chapter 26: Sample Operating Agreement: Interactions Between the Compliance Department and Human Resources Personnel |
Mark Ehrlich ~ The AES Corporation
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| Chapter 27: Issues in Employment Compliance |
Reginald C. Govan ~ Freddie Mac
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| Chapter 28: Issues in Employment Compliance |
Theodora R. Lee ~ Littler Mendelson, P.C.
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| Chapter 29: Working with Procurement to Build an Ethical Supply Chain |
Michael Levin ~ Integrity Interactive Corp.
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| Chapter 30: Building an Ethical Supply Chain |
Michael R. Levin ~ Integrity Interactive Corp.
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| Chapter 31: Working with Suppliers to Achieve CSR Goals |
Michael Levin ~ Integrity Interactive Corp.
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| Chapter 32: Third-Party Codes of Conduct: A Benchmarking Survey |
Rebecca Walker ~ Kaplan & Walker LLP
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| Chapter 33: Creating an Ethical Corporate Culture and Best Practices in Training (PowerPoint) |
Matthew Tanzer ~ Tyco International
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| Chapter 34: Partnering with Hr: Better, Faster, Stronger Ethics (PowerPoint) |
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| Index |
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