FacultyFaculty/Author Profile
Jeffrey M. Kaplan

Jeffrey M. Kaplan

Kaplan & Walker LLP

Princeton, NJ, USA


Jeffrey M. Kaplan is a partner in the Princeton, New Jersey office of Kaplan & Walker LLP.   For twenty-five years he has specialized in assisting companies in developing, implementing and reviewing corporate compliance/ethics programs. This work has included conducting risk analyses; writing/editing codes of conduct and other policy documents; counseling companies in matters regarding training; developing compliance audit protocols and reporting systems; establishing compliance/ethics offices; and assisting boards of directors in meeting their fiduciary duties under the Caremark case.  He has also conducted numerous program assessments. Mr. Kaplan’s compliance/ethics program practice has included work for clients in the health care, medical devices, pharmaceuticals, automotive, government contracting, insurance, manufacturing, energy, retail, paper, publishing, professional services, education, consulting, telecommunications, technology, securities, private investments, food and chemical fields, as well as non-profit organizations. 

Mr. Kaplan has, on two occasions, been an independent consultant for companies suspended by the World Bank, reporting to the Bank on their respective compliance programs, and performed a similar review for the United Nations; has served as a compliance monitor in a criminal tax case for the New York County District Attorney; has reviewed and reported to the Department of Justice and SEC on a company’s compliance/ethics program in connection with the settlement of an FCPA-related investigation; and has reviewed and reported to a state attorney general on another company’s compliance/ethics program in connection with a settlement of a fraud-related matter.  He also conducts internal investigations on behalf of boards and companies into allegations of wrongdoing brought by whistleblowers and others.  He received his B.A. (magna cum laude, Phi Beta Kappa) from Carleton College in 1976 and his J.D. (cum laude) from Harvard University in 1980.  He is a former partner of Chadbourne & Parke, where he served in the Special Litigation Group, and also a former partner of Arkin Kaplan & Cohen LLP and of Stier Anderson, LLC. 

For many years Mr. Kaplan was Counsel to the Ethics Officer Association (now the ECI), a professional association of more than 1000 compliance/ethics officers.  He is, together with Joe Murphy, co-editor of Compliance Programs and the Corporate Sentencing Guidelines: Preventing Criminal and Civil Liability (West 1993), a leading legal treatise on designing and implementing compliance/ethics programs.  He is author of an e-book on risk assessment issued by Corporate Compliance Insights.   He is editor of the Conflict of Interest Blog.  He was for many years Adjunct Professor of Business Ethics at the Stern School of Business, New York University.  He is now a contributor to the Ethical Systems research project which is run by a professor at that school, and has recently co-authored an e-book for Ethical Systems on behavioral ethics and compliance. He is a member of the New York and New Jersey bars.  

Jeffrey M. Kaplan is associated with the following items:
Web Segment  Web Segment Monitor, Audit, and Assess: Explore the Three Lines of Compliance Defense - Corporate Compliance and Ethics Institute 2017, Monday, June 05, 2017
Ethics for Compliance Lawyers and Compliance Officers - Corporate Compliance and Ethics Institute 2017, Monday, June 05, 2017
Compliance Program Auditing, Metrics and Assessment - Advanced Compliance and Ethics Workshop 2017 New York, Wednesday, November 01, 2017
CHB Chapters  CHB Chapters Rebecca Walker and Jeffrey M. Kaplan, Reporting to the Board on the Compliance and Ethics Program, Compliance & Ethics Professional, June 2014, at 59 - Corporate Compliance and Ethics Institute 2017, Monday, June 05, 2017
Jeffrey M. Kaplan, “Point-of-Risk” Compliance, Conflict of Interest Blog (November 28, 2015), http://conflictofinterestblog.com/2015/11/pointof-risk-compliance.html - Corporate Compliance and Ethics Institute 2017, Monday, June 05, 2017
Jeffrey M. Kaplan, Asking a Good Question, Conflict of Interest Blog (December 17, 2016), http://conflictofinterestblog.com/2016/12/askinga-good-question.html - Corporate Compliance and Ethics Institute 2017, Monday, June 05, 2017
Legal Ethics for Compliance Lawyers: An Overview - Corporate Compliance and Ethics Institute 2017, Monday, June 05, 2017
Reporting to the Board on the Compliance and Ethics Program, Compliance & Ethics Professional (June 2014) - Advanced Compliance and Ethics Workshop 2017, Monday, October 30, 2017
“Asking a Good Question,” Conflict of Interest Blog (December 17, 2016), http://conflictofinterestblog.com/ 2016/12/asking-a-good-question.html - Advanced Compliance and Ethics Workshop 2017, Monday, October 30, 2017
“Selected Articles on Training and Communications,” Conflict of Interest Blog, www.conflictofinterestblog.com - Advanced Compliance and Ethics Workshop 2017, Monday, October 30, 2017
Ethics and Compliance Communications Matrix - Advanced Compliance and Ethics Workshop 2017, Monday, October 30, 2017
MP3 Audio  MP3 Audio Ethics for Compliance Lawyers and Compliance Officers - Ethics for Compliance Lawyers and Compliance Officers, Monday, June 05, 2017
Monitor, Audit, and Assess: Explore the Three Lines of Compliance Defense - Monitor, Audit, and Assess: Explore the Three Lines of Compliance Defense, Monday, June 05, 2017
Compliance Program Auditing, Metrics and Assessment - Compliance Program Auditing, Metrics and Assessment, Wednesday, November 01, 2017
Transcripts  Transcripts Monitor, Audit, and Assess: Explore the Three Lines of Compliance Defense - Monitor, Audit, and Assess: Explore the Three Lines of Compliance Defense, Monday, June 05, 2017
Ethics for Compliance Lawyers and Compliance Officers - Ethics for Compliance Lawyers and Compliance Officers, Monday, June 05, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Ethics for Compliance Lawyers and Compliance Officers - Ethics for Compliance Lawyers and Compliance Officers, Monday, June 05, 2017
Monitor, Audit, and Assess: Explore the Three Lines of Compliance Defense - Monitor, Audit, and Assess: Explore the Three Lines of Compliance Defense, Monday, June 05, 2017
Compliance Program Auditing, Metrics and Assessment - Compliance Program Auditing, Metrics and Assessment, Wednesday, November 01, 2017
On-Demand Web Programs  On-Demand Web Programs Corporate Compliance and Ethics Institute 2017, Tuesday, June 06, 2017, New York, NY
Advanced Compliance and Ethics Workshop 2017 New York, Thursday, November 09, 2017, New York, NY
Course Handbooks  Course Handbooks Advanced Compliance and Ethics Workshop 2017
Live Seminar  Live Seminar Compliance & Ethics Essentials 2018, Thursday, May 31, 2018, New York, NY
Advanced Compliance and Ethics Workshop 2018, Monday, October 29, 2018, New York, NY
Live Webcast  Live Webcast Compliance & Ethics Essentials 2018, Thursday, May 31, 2018, New York, NY
Advanced Compliance and Ethics Workshop 2018, Monday, October 29, 2018, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Compliance & Ethics Essentials 2018, Thursday, May 31, 2018, Nashville, TN
Compliance & Ethics Essentials 2018, Thursday, May 31, 2018, New Brunswick , NJ
Compliance & Ethics Essentials 2018, Thursday, May 31, 2018, Indianapolis, IN
Compliance & Ethics Essentials 2018, Thursday, May 31, 2018, Atlanta, GA
Compliance & Ethics Essentials 2018, Thursday, May 31, 2018, Columbus, OH
Compliance & Ethics Essentials 2018, Thursday, May 31, 2018, Cleveland, OH
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