FCPA: Haas School Training for Compliance and Ethics Leadership

There are a myriad of compliance and ethics conferences across the country each year. I regularly attend and speak at some of these. There are also more regular webinar and local events which may focus on specific topics or themes. However, there are relatively few educational programs, put on by universities or business schools which focus on the ‘how to’ of compliance leadership. This situation will soon change. A recent article in the European Business Review, entitled “Leading with Ethics and Compliance”, author Mark Meaney discussed the Occupy Wall Street movement and similar protests in the context of the requirement for “business schools to address the need for greater accountability and transparency in business decision-making.” He pointed towards Dean Rich Lyons of the Haas School of Business at the University of California, Berkeley, who has argued for the “importance of creating a culture within the business school that encourages students to go beyond themselves as future business leaders in learning to accept responsibility for the impact on society of their actions.”

In addition to its traditional business school curriculum the Haas School also has “training and education for individuals who will have as their function to change the ethical climate of corporations from the inside in their role as Chief Ethics and Compliance Officers (CECOs).” This outreach program is based upon research done at the Haas School which concluded that compliance programs usually adopt one of two approaches to corporate ethics and compliance training: a rules-based approach or a values-based approach. The Haas School has taken the belief that neither approach is entirely effective at corporate compliance and ethics. In a rules-based approach, compliance programs use “deterrence as a means of enforcing employee compliance with corporate policies, ethical standards, and government rules and regulations ...

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