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Perspectives of Chief Ethics and Compliance Officers on the Detection and Prevention of Corporate Misdeeds
What the Policy Community Should Know
Improvements in corporate compliance, ethics, and oversight have been a significant policy goal for the U.S. government at least since the enactment of the U.S. Federal Sentencing Guidelines in 1991 and the Sarbanes-Oxley Act in 2002. Notwithstanding these earlier government initiatives, the collapse of financial markets in late 2008 has invited renewed questions about the governance, compliance, and ethics practices of firms throughout the U.S. economy. On March 5, 2009, RAND convened a conference in Washington, D.C., on the role and perspectives of corporate chief ethics and compliance officers (CECOs) in supporting organizations in the detection and prevention of corporate misdeeds. The conference brought together leaders from among ethics and compliance officers in the corporate community, as well as stakeholders in the nonprofit sector, academia, and government. Discussions focused on the challenges facing corporate ethics and compliance programs as a first line of defense against malfeasance and misbehavior; on the role of CECOs as champions for implementation in their companies; and on potential steps that might be taken by government to empower CECOs and, by extension, the corporate ethics and compliance programs that they oversee.
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Contents
Chapter One:
Introduction
Chapter Two:
Invited Remarks from Conference Participants
Chapter Three:
Corporate Governance, Compliance, and the Impact of Regulation — The CECO Perspective and Role
Chapter Four:
Corporate Culture and Ethics — Considerations for Boards and Policymakers
Appendix A:
Conference Participants
Appendix B:
Conference Agenda
Appendix C:
Invited Papers from Panel Participants
This report results from the RAND Corporation's continuing program of self-initiated independent research. Support for such research is provided, in part, by the generosity of RAND's donors and by the fees earned on client-funded research. This research was conducted within the RAND Center for Corporate Ethics and Governance, which is part of the RAND Institute for Civil Justice, a unit of the RAND Corporation.
This product is part of the RAND Corporation conference proceedings series. RAND conference proceedings present a collection of papers delivered at a conference or a summary of the conference. The material herein has been vetted by the conference attendees and both the introduction and the post-conference material have been reviewed and approved for publication by the sponsoring research unit at RAND.
This research in the public interest was supported by RAND, using discretionary funds made possible by the generosity of RAND's donors, the fees earned on client-funded research, and independent research and development (IR&D) funds provided by the Department of Defense.
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