This article provides a big-picture overview of the field of ethics and compliance, paying particular attention to the role and value of collaborating with human resources to achieving effective ethics and compliance programs. I hope this article will be useful to students of ethics and...

In March of 2017, when we were blissfully ignorant of what was to come in that same month a few years later, an associate professor of political science named Robert Kelly was being interviewed on BBC from his home office in South Korea. About a minute into the interview, his four year old...

We begin with the premise that the happiest and most fulfilled attorneys are those who live a life of meaning and purpose. While many in the legal profession have achieved this goal, many others are unsatisfied with their career trajectories but feel, for a variety of reasons, that they aren’t...

In response to the COVID pandemic, the CARES Act created a $600 federally subsidized weekly increase to existing state unemployment benefits. This leaves struggling employers with a dilemma: Should they do whatever they can to maintain payroll for employees who might have very little work in...

While remote work has numerous benefits for both employees and employers—such as improving employee happiness, boosting workplace productivity, and reducing office costs—remote work also creates a web of new legal obligations for employers and new entitlements for employees. This is because...

The SEC recently made waves in the long-established investment adviser regulatory landscape by amending the Investment Advisers Act of 1940 (the “Act”) with the new investment adviser marketing rule, which became binding on advisers in November of 2022. Recognizing the “outdated and...

Using testimonials in investment adviser advertising has been banned for decades prior to the SEC's new investment adviser marketing rule, which amends the Investment Advisers Act of 1940. The SEC was historically concerned about the undue influence that testimonials may have on investors....