Compliance incentives

Jeffrey M. Kaplan (jkaplan@kaplanwalker.com) is a Partner with Kaplan & Walker LLP in Princeton, New Jersey, USA.

The Sentencing Guidelines provide, in relevant part: “The organization’s compliance and ethics program shall be promoted and enforced consistently throughout the organization through…appropriate incentives to perform in accordance with the compliance and ethics program…”[1] Providing discipline for violations is, of course, a form of incentive, but what is contemplated by the above-cited provision is something different—a positive incentive.

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