Details

Subject(s)

• Business ethics [Browse]
• Corporation law—United States [Browse]

Contributor

Walker, Rebecca [Browse]

Series

Corporate law and practice course handbook series ; Number B-2843

Source of description

Description based on publisher supplied metadata and other sources.

Contents

• Front Matter
• Program Schedule
• Faculty Bios
• Table of Contents
• Chapter 1.
• The Evolution of the Law of Corporate Compliance in the United States: An Overview (February 2023)
• Chapter 2.
• Rebecca Walker and Jeffrey M. Kaplan, Our Third Rail: Compliance within the Legal Department, CEP Magazine (March 2022)
• Chapter 3.
• An Opportunity to Assess and Strengthen Board Oversight, CEP Magazine (June 2022)
• Chapter 4.
• Using Liaisons to Extend the Reach and Influence of Your Program, Ethikos, Vol. 37, No. 1 (January 2, 2023)
• Chapter 5.
• Leadership Oversight of Compliance and Ethics Programs, Ethikos, Vol. 37, No. 2 (April 1, 2023)
• Chapter 6.
• Rebecca Walker and Jeffrey M. Kaplan, Compliance Program Assessment Blog, Assessing Codes of Conduct (August 19, 2020)
• Chapter 7.
• Training the Board (April 24, 2023)
• Chapter 8.
• The Value of a C&E Week or Month or Even Just a Day (June 5, 2023)
• Chapter 9.
• Rebecca Walker and Adam Turtelaub, Meet Rebecca Walker, The Progression of Compliance, CEP Magazine (April 2022)
• Chapter 10.
• U.S. Securities and Exchange Commission, Questions Advisers Should Ask While Establishing or Reviewing Their Compliance Programs (May 2006; Updated February 5, 2009)
• Chapter 11.
• 2006 CCOutreach Regional Seminars Investment Adviser Case Study Discussion Guide
• Chapter 12.
• U.S. Securities and Exchange Commission, Risk Alert, Office of Compliance Inspections and Examinations, OCIE Observations: Investment Adviser Compliance Programs (November 19, 2020)
• Chapter 13.
• Squire Patton Boggs, ESG Laws Across the World, Global (July 2023)
• Chapter 14.
• Allen & Overy, Supply Chains Must Evolve to Keep Pace with Drive to Net Zero (November 28, 2022)
• Chapter 15.
• U.S. Securities and Exchange Commission, Climate-Related Disclosures/ESG Investing (Updated July 6, 2023)
• Chapter 16.
• Marriage, Blood, and Romance: Managing Conflicts of Interest Involving Personal Relationships, Ethikos, Vol. 33, No. 201906 (June 2019)
• Chapter 17.
• U.S. Securities and Exchange Commission, Strategic Plan-Fiscal Years 2022-2026
• Chapter 18.
• U.S. Department of Justice, Deputy Assistant Attorney General Matthew S. Miner Delivers Remarks at the 6th Annual Government Enforcement Institute (September 12, 2019)
• Chapter 19.
• U.S. Department of Justice, Criminal Division, Evaluation of Corporate Compliance Programs (Updated March 2023)
• Chapter 20.
• Complaint for Damages, Han v. Pfizer Inc., Case No. 323-cv-03908 (Cal. Super. Ct. 2023)
• Chapter 21.
• Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order, In the Matter of Stephen J. Easterbrook and McDonald's Corp., Securities Act Release No. 11144, Exchange Act Release No. 96610, Admin. Proc. File No. 3-21269 (January 9, 2023)
• Chapter 22.
• Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, In the Matter of United Continental Holdings, Inc., Exchange Act Release No. 79454, AAER No. 3833, Admin. Proc. File No. 3-17705 (December 2, 2016)
• Chapter 23.
• Deferred Prosecution Agreement, United States v. Illinois Bell Telephone Co., LLC (N.D. Ill. 2022)
• Chapter 24.
• U.S. Securities and Exchange Commission, 17 CFR Parts 240 and 275, [Release Nos. 34-97990; IA-6353; File No. S7-12-23], RIN 3235-AN00; 3235-AN14, Proposed Rule, Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers
• Chapter 25.
• It's Time to Assess Your Reporting and Investigations Protocols, CEP Magazine (December 2021)
• Chapter 26.
• Allen & Overy, Organisational Culture in Financial Services, A Global Study into How the Sector is Approaching Purpose, Values and Behaviour in the Workplace (June 2023)
• Chapter 27.
• Allen & Overy, Culture, Compliance and Corporate Governance in the New Decade (February 7, 2020)
• Chapter 28.
• Allen & Overy, DOJ Announces New Policies on Corporate Prosecution (September 16, 2022)
• Chapter 29.
• Allen & Overy, Cross-Border White Collar Crime and Investigations Review (2023)
• Chapter 30.
• Partnering with Partners: Extending Compliance to Third Parties, CEP Magazine (June 2023)
• Chapter 31.
• Society of Corporate Compliance and Ethics, Code of Ethics for Compliance and Ethics Professionals, available at: www.corporatecompliance.org
• Index.

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