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 three 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:
Course Handbooks  Course Handbooks Advanced Compliance and Ethics Workshop 2017
Advanced Compliance and Ethics Workshop 2018
CHB Chapters  CHB Chapters Ethics and Compliance Communications Matrix - Advanced Compliance and Ethics Workshop 2017, Wednesday, November 08, 2017
Reporting to the Board on the Compliance and Ethics Program, Compliance & Ethics Professional (June 2014) - Advanced Compliance and Ethics Workshop 2017, Wednesday, November 08, 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, Wednesday, November 08, 2017
“Selected Articles on Training and Communications,” Conflict of Interest Blog, www.conflictofinterestblog.com - Advanced Compliance and Ethics Workshop 2017, Wednesday, November 08, 2017
Selected Articles on Auditing and Monitoring from the Conflict of Interest Blog - Compliance & Ethics Essentials 2018, Monday, April 30, 2018
Selected Articles on Training and Communications from the Conflict of Interest Blog - Compliance & Ethics Essentials 2018, Monday, April 30, 2018
Risk Assessments - Compliance & Ethics Essentials 2018, Monday, April 30, 2018
Reporting to the Board on the Compliance and Ethics Program, Compliance & Ethics Professional, June 2014, at 59 - Compliance & Ethics Essentials 2018, Monday, April 30, 2018
Was the Grand Inquisitor Right (About Compliance)? - Compliance & Ethics Essentials 2018, Monday, April 30, 2018
Learning from Wells Fargo - Compliance & Ethics Essentials 2018, Monday, April 30, 2018
Assessing Compliance Training - Advanced Compliance and Ethics Workshop 2018, Monday, October 29, 2018
Assessing Risk Assessment - Advanced Compliance and Ethics Workshop 2018, Monday, October 29, 2018
Assessing the E&C Investigations Process - Advanced Compliance and Ethics Workshop 2018, Monday, October 29, 2018
Recent Articles from the Conflict of Interest Blog - Advanced Compliance and Ethics Workshop 2018, Monday, October 29, 2018
Reporting to the Board on the Compliance and Ethics Program, Compliance & Ethics Professional, June 2014, at 59 - Advanced Compliance and Ethics Workshop 2018, Monday, October 29, 2018
Audit Interviews Regarding Employee C&E Knowledge - Advanced Compliance and Ethics Workshop 2018, Monday, October 29, 2018
Web Segment  Web Segment Hot Topics in Compliance and Ethics - Compliance & Ethics Essentials 2018, Monday, June 04, 2018
COMPLIANCE PROGRAM AUDITING, METRICS AND ASSESSMENT - Advanced Compliance and Ethics Workshop 2018, Friday, November 02, 2018
MP3 Audio  MP3 Audio Hot Topics in Compliance and Ethics - Hot Topics in Compliance and Ethics, Monday, June 04, 2018
COMPLIANCE PROGRAM AUDITING, METRICS AND ASSESSMENT - COMPLIANCE PROGRAM AUDITING, METRICS AND ASSESSMENT, Friday, November 02, 2018
Transcripts  Transcripts Hot Topics in Compliance and Ethics - Hot Topics in Compliance and Ethics, Monday, June 04, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Hot Topics in Compliance and Ethics - Hot Topics in Compliance and Ethics, Monday, June 04, 2018
COMPLIANCE PROGRAM AUDITING, METRICS AND ASSESSMENT - COMPLIANCE PROGRAM AUDITING, METRICS AND ASSESSMENT, Friday, November 02, 2018
On-Demand Web Programs  On-Demand Web Programs Compliance & Ethics Essentials 2018, Friday, June 08, 2018, New York, NY
Advanced Compliance and Ethics Workshop 2018, Tuesday, November 06, 2018, New York, NY
Live Seminar  Live Seminar Advanced Compliance and Ethics Workshop 2019, Monday, October 28, 2019, New York, NY
Live Webcast  Live Webcast Advanced Compliance and Ethics Workshop 2019, Monday, October 28, 2019, New York, NY
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