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• Case | HBS Case Collection | March 2018 (Revised March 2018)

  Designing a Compliance Program at AB InBev

  Eugene Soltes

  Compliance programs help companies align the interests and behavior of employees with external expectations and regulation. The case discusses how ABInBev, a major brewer, developed its compliance program.

  Keywords: Governance; Crime and Corruption; Governance Compliance; Consumer Products Industry; Africa; Europe; India; North America;

  Citation:

  Soltes, Eugene. "Designing a Compliance Program at AB InBev." Harvard Business School Case 118-071, March 2018. (Revised March 2018.)  View Details

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• Article | Harvard Business Review

  Why Compliance Programs Fail: And How to Fix Them

  Hui Chen and Eugene Soltes

  Firms spend millions of dollars annually on whistle-blower hotlines, training, and other efforts to ensure adherence to laws, regulations, and company policies. Yet malfeasance remains entrenched in the corporate world. Why? Too many firms treat compliance as a box-checking exercise, making employees sit through training and attest that they understand the rules, but failing to assess the effectiveness of their compliance programs, or doing so with faulty metrics. The authors explain how we reached this sorry state—and how we can remedy it. Firms should start by linking compliance initiatives more closely to specific objectives: preventing misconduct, detecting it, or aligning policies with laws and regulations. Then, using careful model design and some creativity, firms can develop better metrics to measure what’s working and what isn’t.

  Keywords: Governance Compliance; Programs; Employees; Training; Performance Effectiveness; Measurement and Metrics;

  Citation:

  Chen, Hui, and Eugene Soltes. "Why Compliance Programs Fail: And How to Fix Them." Harvard Business Review 96, no. 2 (March–April 2018): 116–125.  View Details

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• Case | HBS Case Collection | December 2016 (Revised January 2018)

  Rajat Gupta

  Paul Healy and Eugene Soltes

  Rajat Gupta, former managing director of McKinsey & Company; a director of Goldman Sachs, Procter & Gamble, and AMR; and a well-known philanthropist, was convicted of engaging in insider trading. The case explores Gupta’s rise and the later legal problems he faced.

  Keywords: insider trading; McKinsey; Ethics; Crime and Corruption; United States;

  Citation:

  Healy, Paul, and Eugene Soltes. "Rajat Gupta." Harvard Business School Case 117-004, December 2016. (Revised January 2018.)  View Details

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