Resources Recommended by Compliance Strategists

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The following three resources are invited RAND white papers presented at a RAND Symposium entitled “Culture, Compliance and the C-Suite” on May 2, 2013, and will be published in late summer 2013 as a part of the final symposium report.

October 2, 2013 – Achieving Compliance In Health Care Industries: Company Leading Practices – Association of Corporate Counsel – PDF Download

September 9, 2013 – Filing with Federal Sentencing Commission regarding Antitrust Fines (Joe Murphy) – Open Letter to the United States Sentencing Commission – PDF Download

July/August 2013 – Why you should insist on a board resolution for your C&E program and CECO (Joe Murphy) – Compliance & Ethics Professional – PDF Download

May 28, 2013 – SEC Investigations 101: 20 Frequently Asked Questions – PDF Download

April 19, 2013 – Chase Moves Compliance Out of the GC’s Office – PDF Download

March 19, 2013 – Making the CCO an Independent Voice in the C-Suite – PDF Download

February 13, 2013 – The Shredder Ate My Culture Report: Five Questions the Barclays Board Should Have Asked – PDF Download

February 9, 2013 – 19 Embarrassing Emails, IMs, And Conversations That Wall Street Wishes Were Never Made Public – PDF Download

January 29, 2013 – JPMorgan Chase Takes a Giant Step on CCO Independence – Corporate Counsel – PDF Download

January 15, 2013 – JP Morgan Internal Governance Report – Board Focus – PDF Download

January 2013 – Thomson Reuters Cost of Compliance Survey – PDF Download 

November/December 2012 – Retaliation 101 for the Compliance Officer – Compliance & Ethics Professional – PDF Download

October 1, 2012 – Modeling the Message: Communicating Compliance Through Organizational Values and Culture – (Scott Killingsworth white paper) – PDF Download

September/October 2012 – Ethics with a bite: Fluffy kitten or lion? – Compliance & Ethics Professional – PDF Download

February 2012 – “Give Me Independence or Give Me Death” (Snell, Compliance Today) – PDF Download

September 5, 2011 – “General Counsels and the Ethics, Compliance and Risk Management Role:
Optimizing the Integration of Integrity” – Corporate Governance Report, 14 CGR 108 (Bonime-Blanc) – PDF Download

August 2010 – RAND Symposium Report: “Directors as Guardians of Compliance and Ethics Within the Corporate Citadel”
(Boehme Co-Chair)(link)

 August 2010 – SCCE Manual: Director Engagement, Training & Reporting – PDF Download
Chapter on Board Engagement, Training & Reporting covering evolving Board oversight accountability, role of the CECO,

key strategies and best practices (Boehme 2010)

May 17, 2010 – Yuspeh Ethisphere Letter to Editor – PDF Download
Guest Editor Column by Alan Yuspeh,  SVP and Chief Ethics and Compliance Officer, HCA,on CECO empowerment and positioning

March 2010 – Ethisphere White Paper – PDF Download
“The Business Case for Creating a Standalone Chief Compliance Officer”

March 30, 2010 Audio Interview – Jamie Wareham
WGN Radio 720 interview with Jamie Wareham, attorney for Chicago’s former chief compliance officer, Anthony Boswell, on his 3/29 resignation

March 22, 2010 – Comment Letter on Proposed FSG Amendments – PDF Download
Greenberg/Boehme comment letter responding to proposed amendments to the Federal Sentencing Guidelines (“direct reporting responsibility”)

February 18, 2010 – Q&A for “Not Your Father’s Board Training” Webinar – PDF Download

February 18, 2010 “Not Your Father’s Board Training” Webinar (slides) – PDF Download
Boehme Ethicspoint Webinar “Not Your Father’s Board Training: “What Today’s Boards Need to Know About Compliance and Ethics”

KPMG Ethics and Compliance Report 2009 – PDF Download
“A Continuing Conversation on Ethics and Integrity”  a panel moderated by KPMG Executive Vice-Chair, Judge Sven Erik Holmes,
featuring KPMG partners and experts Donna Boehme, Keith Darcy and Steve Priest

October 8, 2009 Q&A for “Safety Valve or False Security?” Webinar (Slides) – PDF Download

October 8, 2009 “Safety Valve or False Security?” Confidential Employee Helplines Webinar (Slides) – PDF Download
Boehme Ethicspoint Webinar  “Safety Valve or False Security”

RAND White Papers presented at RAND Conference:
“Perspectives of Chief Ethics and Compliance Officers on
Preventing and Detecting Corporate Crime:
What the Policy Community Should Know”

March 5, 2009 – Boehme – PDF Download
From Enron to Madoff: “Why Many Compliance and Ethics Programs are Positioned for Failure”

March 5, 2009 – Darcy – PDF Download
“Ethics and the Role of the Board as  Governing Body”

 March 5, 2009 – Murphy – PDF Download
“What Government Can Do to Help Prevent Corporate Crime”

 A Governing Board Primer: Compliance Plan Oversight Responsibilities – PDF Download

June 5 & 24, 2008 – SCCE 2-Part Webinar – Murphy and Boehme – PDF Download
“Leading Integrity:  Is Your Compliance and Ethics Function Positioned for Success?”

 August 2007 – ERC et al – PDF Download
“Leading Corporate Integrity: Defining the Role of the Chief Ethics and Compliance Officer”