Compliance, Ethics and Risk Management

The Compliance, Ethics and Risk Management seminar focuses on the core issues in the areas of compliance, ethics, and risk management, including compliance theory, strategies for solving complex legal and ethical dilemmas, and the skills necessary to develop compliance solutions in the fields of health law, corporate law, digital privacy, higher education, and international business transactions.  Professor Joseph Yockey will teach this course in Spring 2020.

Professor Yockey encourages students to take this seminar due to the importance of compliance for all business organizations. "Compliance is one of the fast growing areas of law practice in the world, and a solid grounding in the principles of compliance and risk management will help virtually every practicing attorney better serve clients in all facets of their organizational activities," he explained.

In addition, Professor Yockey noted that this course is not just for students interested in practicing business or corporate law. "Compliance will be relevant to all lawyers who advise organizations, regardless of practice area—this includes lawyers working for healthcare organizations, charitable nonprofits, traditional corporations, and even food trucks on the Ped Mall – basically any firm that is subject to regulation," he said. He also noted that "lawyers with a solid grounding in compliance and risk management are vital to helping these organizations stay within legal limits and avoid the negative consequences, both legal and personal, that so often come from misbehavior."

last updated December 31, 2019

Course Description

Public and private organizations—including corporations, nonprofits, universities, and government agencies—are responsible for ensuring that their personnel comply with legal and regulatory requirements. Yet this can be difficult to achieve in modern regulatory environments that are constantly evolving. Moreover, there are many areas of law where the “right” course of action is less than clear. Issues of compliance are not black and white; they come in myriad shades of gray. Thus, organizations must find mechanisms to develop strategies and cultures of compliance. They must both train employees on their obligations under the law and develop a culture that promotes ethical awareness and decision-making. This course will examine both issues in tandem, often using case studies. The course has three goals. First, develop an understanding of the field of organizational compliance and the issues that compliance professionals are responsible for overseeing. Second, establish a strong foundation in behavioral and traditional legal ethics. Third, develop persuasive arguments regarding the strengths and weaknesses of the compliance efforts undertaken by the organizations analyzed during the course.

Schedule Information

Tues 9:10-10:50am