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C&E Program Assessments – Part Five: Program Attributes

Jeff Kaplan
Kaplan & Walker, LLP



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The Dodd-Frank Act: Important Implications for Compliance and Ethics Programs

Alice Peterson | SAI Global Compliance

Nevada and New Hampshire Data Security and Privacy Laws Take Effect

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New Year’s Resolutions for the Compliance & Ethics Community

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What to Expect from AML and OFAC Enforcement in 2010

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New Year’s Tips for Government Contractors

William A. Roberts III | Wiley Rein LLP

2010: Ushering in an Era of Personal Responsibility?

Gary M. Brown | Baker, Donelson, Bearman, Caldwell & Berkowitz P.C.

Global and EU Competition in 2010

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Intellectual Property Predictions and Tips for 2010

E. Patrick Ellisen | Greenberg Traurig LLP

New Year’s Tip re: E-mail

Ronald J. Levine | Herrick Feinstein LLP

Employment Law Predictions for 2010

Karen Corman | Skadden, Arps, Slate, Meagher & Flom LLP

Healthcare/Fraud & Abuse – Predictions for 2010

Isabel P. Dunst | Hogan & Hartson LLP

Fraud, Bribery & Corruption: What Will Happen in 2010?

Paul J. McNulty | Baker & McKenzie LLP

Securities and Insider Trading: Outlook for 2010

Randall Lee | Wilmer Cutler Pickering Hale and Dorr LLP

Surviving an Executive Compensation Review under the Federal Acquisition Regulation (“FAR”): Part 3

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SAI Global Compliance

SAI Global Advisors

SAI Global's advisors include our Law and Ethics Advisors, practicing lawyers and ethicists who are subject matter experts in fields of particular relevance to compliance and ethics programs, and others in the field of ethics, governance, risk management and compliance. They share their viewpoints about emerging issues, items in the news, and thoughts to ponder on this Website. We look forward to reading your comments in response.

Andy Wyszkowski,

Global Head, Compliance and Publishing

Compliance Training for the Big People

by Jeff Kaplan, May 16, 2010

Leona Helmsley was reputed to have said that “taxes are for the little people,” and much the same attitude characterizes how some senior business leaders view compliance and ethics (C&E). Although the Sentencing Guidelines provide that “High-level personnel of the organization shall ensure that the organization has an effective compliance and ethics program,” it is not uncommon for such personnel to feel that they have no individual responsibility for the success of their company’s C&E program.

To some extent, this is the fault of those who advise senor managers. A study published in 2007 – Johnson and Ricca, “(Not) Advising Corporate Officers About Fiduciary Duties,” 42 Wake Forest Law Review 663 – found that many corporate lawyers “do not provide full-bodied fiduciary duty advice to officers in their capacity as officers at all,” and it seems doubtful that the situation has improved since then.

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Goldman Sachs: Innocent Until Proven Guilty?

by Alice Peterson, Apr 29, 2010

We don’t yet know the lessons compliance and ethics professionals can learn from the SEC’s recent lawsuit against Goldman Sachs. While it is still being determined whether Goldman did anything illegal, legitimate issues are surfacing – transparency and conflicts of interest, for example. A few random thoughts come to mind as the issue unfolds:

#1 – People judging the situation would do well to apply a healthy dose of dispassionate analysis. Acting on emotion results in jumping on bandwagons and other irresponsible reactions. Understanding the facts and circumstances in the Goldman case requires time and dedication, as the domains in which they operate are complex.

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A Compliance & Ethics Legal Update for Your Board

by Jeff Kaplan, Apr 19, 2010

Boards of directors need – and sometimes ask for – news of significant Compliance & Ethics (C&E)-related legal developments. Here are three board-worthy stories for such an update.

First, the C&E provisions of “Corporate” Sentencing Guidelines are being amended, effective November 1. In brief, these amendments:

  • Make clear the Guidelines’ expectations that the individual with operational responsibility for her company’s C&E program have “direct reporting obligations” to the board/applicable board committee

    Read the rest of this entry »





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