Jeffrey M. Kaplan

Mr. Kaplan is a partner in Kaplan & Walker LLP, a law firm in Princeton, New Jersey and Santa Monica, California. He specializes in all aspects of assisting companies in developing, implementing and reviewing corporate compliance programs, including conducting risk analyses; writing/editing codes of conduct and other policy documents; counseling companies in matters regarding training; developing compliance audit protocols and reporting systems; establishing compliance/ethics offices; and assisting boards of directors in meeting their fiduciary duties under the Caremark case. Mr. Kaplan"s compliance program practice has included work for clients in the health care, pharmaceuticals, government contracting, insurance, manufacturing, energy, retail, paper, publishing, professional services, telecommunications, technology, securities, private investments, food and chemical fields. He serves as a compliance monitor in a criminal tax case for the New York County District Attorney, has reviewed and reported to the Department of Justice and SEC on a company"s compliance program in connection with the settlement of an FCPA investigation and has reviewed and reported to a state attorney general on another company"s compliance program in connection with a settlement of another matter. He also conducts internal investigations on behalf of boards and companies into allegations of wrongdoing brought by whistleblowers and others and practices in the areas of regulatory and white-collar criminal defense. He received his B.A. (magna cum laude, Phi Beta Kappa) from Carleton College in 1976 and his J.D. (cum laude) from Harvard University in 1980. He is a former partner of Chadbourne & Parke, where he served in the Special Litigation Group, and also a former partner of Arkin Kaplan & Cohen LLP and of Stier Anderson, LLC.

Mr. Kaplan is Chair of the Legal Advisory Board of SAI Global Compliance (Americas), a developer of Web-based compliance training programs. For many years he was Counsel to the Ethics Officer Association (now the ECOA), a professional association of more than 1300 ethics and compliance officers, and now serves as the Program Director of the ECOA"s “law school” for ethics and compliance officers. He has also had a long relationship with The Conference Board, having served as Program Director of its annual Business Ethics conference and its Council on Corporate Compliance; conducted an all-day “Compliance Risk Analysis Workshop”; and co-authored, with Ronald Berenbeim, Ethics Programs – The Role of the Board: A Global Study. He is currently research director of the Conference Board"s Research Working Group, “Ethics & Compliance Criteria in Government Enforcement Decisions.”

Mr. Kaplan is, together with Joe Murphy, co-editor of Compliance Programs and the Corporate Sentencing Guidelines: Preventing Criminal and Civil Liability (West 1993), a leading legal treatise on designing and implementing ethics and compliance programs. He is co-author of The Prevention and Prosecution of Computer and High Technology Crime (Matthew Bender 1989). He was for many years co-publisher/executive editor of ethikos, a bimonthly magazine for ethics and compliance professionals. Mr. Kaplan is author and co-author of numerous articles about business crime and compliance programs in periodicals such as The California Management Review, The Journal of Securities and Commodities Regulation, The Prevention of Corporate Liability: Current Report, The Preventive Law Reporter, Directorship, Director"s Monthly, American Banker, Business Crime Commentary, the New York Law Journal and the National Law Journal, and also various book chapters on these topics. He is a frequent speaker on ethics and compliance issues before the Practicing Law Institute and he chairs the Continuing Legal Education program in corporate compliance sponsored by the Association of the Bar of the City of New York.

Mr. Kaplan is Adjunct Professor of Business Ethics at the Stern School of Business, New York University, and is a member of the New York and New Jersey bars.