Principles of the Law, Compliance and Enforcement for Organizations

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This publication provides recommended standards and best practices for internal control within public and private entities—especially large, publicly traded corporations—and external control by regulators, prosecutors, and judges. These best practices combine legal and ethical standards, dealing with both externally imposed norms (such as laws and regulations) and internally imposed norms (such as corporate codes of ethics).
The publication addresses not only how laws and regulations are enforced against organizations’ misconduct, but also how organizations can enforce the laws and regulations on themselves through a strong compliance program. Its recommendations provide useful guidance about how organizations should structure their internal-control functions and how regulators and prosecutors should respond to those internal-control activities.
Directed also to the employees and agents of organizations, the publication sets out standards for conduct of employees and agents, as well as the considerations that enforcement officials and judges should consider when deciding on enforcement actions or penalties against employees or agents.

The topics in this publication have emerged as fundamental components of internal controls in organizations, both in the United States and around the world. Chapters cover Governance; Compliance Risk Management; Compliance; and Criminal, Civil, and Administrative Enforcement Against Individuals and Companies for Organizational Misconduct.
Reporter:
Geoffrey P. Miller, New York University School of Law
Associate Reporters:
Jennifer H. Arlen, New York University School of Law
James A. Fanto, Brooklyn Law School
Claire A. Hill, University of Minnesota Law School

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