Geoffrey P. Miller, Jennifer H. Arlen, James A. Fanto, Claire A. Hill and Pauline Toboulidis | May 18, 2021 | Compliance and Enforcement for Organizations
At the 2021 Annual Meeting, members of The American Law Institute voted to approve Tentative Draft No. 2 of Principles of the Law, Compliance and Enforcement for Organizations. The vote marks the completion of this project. This is the first time that The American Law...
Claire A. Hill, Jennifer H. Arlen, James A. Fanto, Geoffrey P. Miller and Pauline Toboulidis | May 6, 2021 | Compliance and Enforcement for Organizations
Principles of the Law, Compliance and Enforcement for Organizations, Tentative Draft No. 2 (TD2) will be presented to ALI membership at the 2021 ALI virtual Annual Meeting. The below Introductory Note and black letter is excerpted from this draft, which contains §...
Geoffrey P. Miller, Jennifer H. Arlen, James A. Fanto, Claire A. Hill and Pauline Toboulidis | April 24, 2019 | Compliance and Enforcement for Organizations
Principles of the Law, Compliance, Risk Management, and EnforcementThe following entry is excerpted from the Black Letter of Tentative Draft No. 1, § 3.07 The Role of the Board of Directors and Executive Management in Promoting an Organizational Culture of Compliance...
Geoffrey P. Miller, Jennifer H. Arlen, James A. Fanto, Claire A. Hill and Pauline Toboulidis | April 10, 2019 | Compliance and Enforcement for Organizations
The following entry is excerpted from the Black Letter and Comments of Tentative Draft No. 1; Section 3.06 Qualifications of Primary Governance Actors for Compliance and Risk Management.The full draft contains additional Reporters’ Notes. This draft will be presented...
Claire A. Hill | July 27, 2017 | Compliance and Enforcement for Organizations
This paper argues that a nuanced view of sophisticated investors, as well as sellers and structurers of financial instruments, articulated within a rationality paradigm, has implications for financial regulation. The paper distinguishes between conformist investors,...
