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Advanced Compliance and Ethics Workshop 2014

Author(s): Rebecca Walker, Jeffrey M. Kaplan, David G. Wilkins
Practice Area: Corporate & Securities
Published: Nov 2014
PLI Item #: 50461
CHB Spine #: B2127

Mr. Kaplan is a partner in Kaplan & Walker LLP, a law firm in Princeton, New Jersey and Santa Monica, California.   For more than twenty years he has specialized in assisting companies in developing, implementing and reviewing corporate compliance/ethics programs. This work has included conducting risk analyses; writing/editing codes of conduct and other policy documents; counseling companies in matters regarding training; developing compliance audit protocols and reporting systems; establishing compliance/ethics offices; and assisting boards of directors in meeting their fiduciary duties under the Caremark case.  He has also conducted numerous program assessments. Mr. Kaplan’s compliance/ethics program practice has included work for clients in the health care, medical devices, pharmaceuticals,  government contracting,  insurance, manufacturing, energy, retail, paper, publishing, professional services, telecommunications, technology, securities, private investments, food and chemical fields, as well as non-profit organizations.

Mr. Kaplan is currently an anti-corruption compliance consultant for two companies that were suspended by the World Bank, has served as a compliance monitor in a criminal tax case for the New York County District Attorney, has reviewed and reported to the Department of Justice and SEC on a company’s compliance/ethics program in connection with the settlement of an FCPA investigation and has reviewed and reported to a state attorney general on another company’s compliance/ethics program in connection with a settlement of another matter.  He also conducts internal investigations on behalf of boards and companies into allegations of wrongdoing brought by whistleblowers and others and practices in the areas of regulatory and white-collar criminal defense.  He received his B.A. (magna cum laude, Phi Beta Kappa) from Carleton College in 1976 and his J.D. (cum laude) from Harvard University in 1980.  He is a former partner of Chadbourne & Parke, where he served in the Special Litigation Group, and also a former partner of Arkin Kaplan & Cohen LLP and of Stier Anderson, LLC. 

For many years Mr. Kaplan was Counsel to the Ethics Officer Association (now the ECOA), a professional association of more than 1000 compliance/ethics officers. He also founded and served as the Program Director of the ECOA’s ‘law school” and “global law school” for compliance/ethics officer. He was Program Director for the Conference Board’s annual Business Ethics conference and its Council on Corporate Compliance and co-authored two research reports for the Conference Board:   Ethics Programs – The Role of the Board: A Global Study and Ethics and Compliance Enforcement Decisions – the Information Gap (both with Ronald Berenbeim).  In 2009 he was a recipient of a Compliance and Ethics Award from the Society for Corporate Compliance and Ethics, which that organization bestows annually on “Compliance and Ethics Champions.” 

Mr. Kaplan is, together with Joe Murphy, co-editor of Compliance Programs and the Corporate Sentencing Guidelines: Preventing Criminal and Civil Liability (West 1993), a leading legal treatise on designing and implementing compliance/ethics programs.  He is co-author of The Prevention and Prosecution of Computer and High Technology Crime (Matthew Bender 1989) and author of an e-book on risk assessment issued by Corporate Compliance Insights.  He was for many years co-publisher/executive editor of ethikos, a bimonthly magazine covering compliance/ethics best practices  He is author and co-author of numerous articles about business crime and compliance/ethics programs in periodicals such as The California Management Review, The Journal of Securities and Commodities Regulation, The Prevention of Corporate Liability: Current Report, The Preventive Law Reporter, Directorship, Director’s Monthly, American Banker, Business Crime Commentary, the New York Law Journal and the National Law Journal, and also various book chapters on these topics.

Mr. Kaplan is a co-chair of the Practicing Law Institute’s annual Advanced Compliance and Ethics Workshop and for many years chaired the Continuing Legal Education program in corporate compliance sponsored by the Association of the Bar of the City of New York. He is editor of the Conflict of Interest Blog and a regular columnist for Compliance and Ethics Professional magazine. Mr. Kaplan was for many years Adjunct Professor of Business Ethics at the Stern School of Business, New York University.  He is now a researcher on the Ethical Systems project which is run by a professor at that school. He is a member of the New York and New Jersey bars.

Rebecca Walker is a partner in the law firm of Kaplan & Walker LLP, a law firm specializing in compliance and ethics located in Santa Monica, California and Princeton, New Jersey.  Ms. Walker advises clients on the development and implementation of compliance and ethics programs that are tailored to each client's legal risks and business needs and that conform to applicable government requirements and pronouncements regarding effective compliance programs.  Ms. Walker has counseled numerous companies in diverse industries on the various components of their compliance and ethics programs, including risk assessment, codes of conduct and other policies, compliance training, monitoring and auditing systems, reporting procedures, program structure and program documentation. She has also conducted numerous assessments of companies’ compliance and ethics programs and compliance risk assessments.  Her clients have included companies from the consumer products, apparel, financial services, pharmaceutical, healthcare, banking, advertising, consulting, telecommunications, energy, retail and airline industries, including many companies in the Fortune 500.

Ms. Walker chairs the Practising Law Institute's annual Compliance and Ethics Institute in New York and PLI’s annual Advanced Compliance and Ethics Workshop in San Francisco.  Ms. Walker serves on the Advisory Boards of the Compliance and Ethics Professional Magazine, published by the Society of Corporate Compliance and Ethics, and the Corporate Compliance Center at the South Texas College of Law.  She also serves on the Editorial Board of the Complete Compliance and Ethics Manual.

Ms. Walker is the author of Conflicts of Interest in Business and the Professions: Law and Compliance, published by Thomson West in 2005.  She is the co-author of Safeguarding Intellectual Property and Preventing Corruption in the Global Supply Chain, published by The Conference Board in 2012 and the Anti-Corruption Compliance Program Benchmarking Survey, along with Jeff Kaplan and the FCPA Blog, published in 2011.  Ms. Walker has authored several surveys and published numerous articles regarding compliance and ethics.  She is also a contributing editor of ethikos, a leading compliance and ethics journal.  Ms. Walker is a frequent speaker on compliance and ethics issues, including for the Practising Law Institute, The Conference Board, the Ethics and Compliance Officer Association and other legal and business groups.

Ms. Walker received her B.A. (magna cum laude, Phi Beta Kappa) from Georgetown University and her J.D. (cum laude) from Harvard Law School.

David G. Wilkins is the Chief Compliance Officer (CCO) at SNC-Lavalin Inc., effective June 1, 2014. Wilkins' previous roles include Director of Ethics and Compliance and Associate General Counsel for The Dow Chemical Company until his retirement from Dow on February 28, 2014; Vice President and General Counsel of Union Carbide Corporation, a wholly owned subsidiary of The Dow Chemical Company; Vice President and Chief Diversity Officer of the American Red Cross; and a variety of other legal and human resources roles across Dow's U.S. Operations.

Wilkins joined Dow in 1987 after 10 years of private law practice in Chicago. He holds a Bachelor of Arts degree from Illinois Wesleyan University and a Juris Doctor from the University Of Illinois School of Law. He attended the Babson College Executive Education program. He currently serves on the Board of Trustees of Illinois Wesleyan University.