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The Law of Governance, Risk Management, and Compliance

Geoffrey P. Miller


  • ISBN: 9781454845447

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  • Description

    The Law of Governance, Risk Management, and Compliance is the first casebook on the law of governance, risk management, and compliance. Author Geoffrey P. Miller, a highly respected professor of corporate and financial law, also brings real world experience to the book as a member of the board of directors and audit and risk committees of a significant banking institution. The book addresses issues of fundamental importance for any regulated organization (the $13 billion settlement between JPMorgan Chase and its regulators is only one of many examples).  This book can be a cornerstone for courses on compliance, corporate governance, or on the role of attorneys in managing risk in organizational clients.

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  • Details
    Page Count 624
    Published 03/17/2014
  • Additional Product Details

    Summary of Contents





    Part I Governance 

    Chapter 1 Shareholders 

    Chapter 2 The Board of Directors 

    Chapter 3 Executives 


    Part II Compliance 

    Chapter 4 Introduction to Compliance 

    Chapter 5 Internal Enforcement 

    Chapter 6 Regulators 

    Chapter 7 Prosecutors 

    Chapter 8 Whistleblowers

    Chapter 9 Gatekeepers 

    Chapter 10 Plaintiffs’ Attorneys 

    Chapter 11 Information Security 

    Chapter 12 Off Label Drugs 

    Chapter 13 Foreign Corrupt Practices 

    Chapter 14 AML/BSA/OFAC

    Chapter 15 Sexual Harassment 

    Chapter 16 Ethics, Social Responsibility, and Institutional Culture 

    Chapter 17 When Compliance Fails 


    Part III Risk Management 529

    Chapter 18 Introduction to Risk Management 

    Chapter 19 Approaches to Risk Management 

    Chapter 20 When Risk Management Fails 


    Table of Cases 


  • Author Information

    Geoffrey P. Miller

    Geoffrey P. Miller is an author or editor of ten books and more than 200 articles in the fields of financial institutions, contract law, corporate and securities law, constitutional law, civil procedure, legal history, jurisprudence, and ancient law. He has taught a wide range of subjects including law and economics,corporations, compliance and risk management, property, regulation of financial institutions, land development, securities law, the legal profession, and legal theory. Miller received his B.A. magna cum laude from Princeton in 1973 and his J.D. from Columbia in 1978, where he was a Stone Scholar and editor-in-chief of the Columbia Law Review. He clerked for Judge Carl McGowan of the U.S. Court of Appeals for the District of Columbia Circuit and Justice Byron White of the U.S. Supreme Court. After two years as an attorney adviser at the Office of Legal Counsel of the U.S. Department of Justice and one year with a Washington, D.C., law firm, he joined the faculty of the University of Chicago Law School in 1983 and NYU School of Law in 1995.

    Miller has been a visiting professor or visiting scholar at Columbia University, Harvard University, University of Minnesota, University of Basel (Switzerland), University of Genoa (Italy), Collegio Carlo Alberto (Italy), Study Center Gerzensee (Switzerland), Vanderbilt University, University of St. Gallen (Switzerland), University of Frankfurt (Germany), University of Sydney (Australia), University of Auckland (New Zealand), and the Bank of Japan. Miller is a founder of the Society for Empirical Legal Studies, a scholarly organization devoted to promoting statistical and other empirical techniques in the study of legal institutions.

    He is founder and director of NYU School of Law's Center for Financial Institutions, co-director of NYU's Program on Corporate Compliance and Enforcement, co-convener of the Global Economic Policy Forum, a member of the board of directors of State Farm Bank, and a Fellow in the American Academy of Arts and Sciences.

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