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 William Webster, Robert Weatherley


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Elgar Concise Encyclopedia of Compliance Law

Edited by: James A. Fanto

ISBN13: 9781035313266
To be Published: December 2026
Publisher: Edward Elgar Publishing Limited
Country of Publication: UK
Format: Hardback
Price: £210.00





This authoritative Encyclopedia provides an overview of compliance law, highlighting a variety of perspectives and interpretations to provide a panoramic view of the field’s developments and avenues for further research.

Leading experts examine the core elements of this complex subject, presenting concise summaries of seminal areas of compliance. Entries examine key themes such as certification, polarization, regulation, stakeholder responsibility, encouraging diversity, and risk management. Contributors identify emerging challenges as well as indications of further reading.

Elgar Concise Encyclopedia of Compliance Law is an invaluable resource for scholars and students of compliance law, international law and business law. Legal practitioners seeking introductions to unfamiliar compliance areas will likewise benefit from its comprehensive insights.

Key Features:

  • Defines new areas of expertise in a growing sector
  • Integrated reading lists to springboard future research
  • Postulates the future of compliance law in one concise reference guide
  • Over 50 entries from internationally renowned academics and practitioners

Contents:
American Law Institute Principles of Compliance 1
James A. Fanto
Artificial intelligence in financial services compliance 5
Craig Watanabe
The case for timeless principles in the marketplace 9
Charles V. Senatore
Chief compliance officer certification 13
Karen E. Woody
Chief Ethics and Compliance Officer (CCO/CECO) 16
David B. Lourie
Code of ethics 21
David Hess
Compliance and polarization 24
Miriam H. Baer
Compliance and regulation 29
Cristie Ford
Compliance and social political activism 32
Tom C.W. Lin
Compliance and the administrative state 36
Todd Phillips
Compliance department structures in the United States 40
David Orozco
Compliance for stakeholders and reputation 43
Sergio Alberto Gramitto Ricci and Christina M. Sautter
Compliance in the new era of retail investing 47
Sergio Alberto Gramitto Ricci and Lucas Moskowitz
Compliance officer liability 52
Tomer Stein
Compliance programs in international organizations 55
Dalila Martins Viol
Corporate internal policies 60
Geeyoung Min
Culture of compliance 63
Claire A. Hill
Debt governance and compliance 66
Tomer Stein
Deferred prosecution agreements 69
W. Robert Thomas
Department of Justice (U.S.) (approach to standards) 72
Sue S. Guan
Directors (board of) 75
Roy Shapira
Diversity and compliance 78
Veronica Root Martinez
ESG due diligence and the compliance function 83
Amelia Miazad
ESG reporting: a mammoth task for compliance in the EU 87
Maria Krambia-Kapardis
Federal Sentencing Guidelines 92
W. Robert Thomas
General counsel 95
Deborah A. DeMott
Healthcare Entities in Compliance Law 98
Katrice Bridges Copeland
Higher education compliance 102
Hope M. Caldwell
History of compliance 105
John H. Walsh
Human rights 109
David Hess
Incentives in compliance and ethics programs 113
Joseph E. Murphy
Incentivizing effective compliance 116
Jennifer Arlen
Independent compliance monitors 121
Veronica Root Martinez
Insider trading (United States) 125
Eric C. Chaffee
Internal compliance investigations: standards, international
considerations, and pitfalls 130
Jordan E. Segall, Pranav Ramesh, and Michael Donnella
Introduction to suptech 135
Hilary J. Allen
Is compliance a profession? 138
James A. Fanto
The legal profession and compliance 142
Jennifer M. Pacella
M&A and compliance 145
Andrew K. Jennings
Measuring the effectiveness of a compliance program 149
Gregory Mitchell
Monitoring and surveillance: the danger of oversurveillance 152
J.S. Nelson
Nonprofit compliance 157
James Fallows Tierney and Bryce Shuffler
Organizational research and compliance 161
Joe McGrath
Pathways of compliance strategy 165
Robert C. Bird
Promoting diversity, equity, and inclusion in corporate boards:
a mixed blessing for European compliance officers 170
Maria Krambia-Kapardis
Red flags 174
Roy Shapira
Regtech 178
Nizan Geslevich Packin
Reliance on the defense of compliance 183
Benjamin P. Edwards and Ethan Viator
Risk management and social norms 185
David Orozco
Risks in implementing a compliance program 188
J.S. Nelson
The role of the C-suite in compliance 193
Joan MacLeod Heminway
The SEC’s approach to compliance 197
James Fallows Tierney
Supervision 202
John H. Walsh
Vendors in compliance law 206
Patrick Perkins
Violations and failures 210
J.S. Nelson
Whistleblower bounty programs 214
Alexander I. Platt