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  • Article

Paper Versus Practice: A Field Investigation of Integrity Hotlines
By: Eugene Soltes
In an effort to motivate firms to more rapidly detect potential misconduct, legislators, regulators, and enforcement agencies incentivize firms to have integrity or “whistleblowing” hotlines. These hotlines provide individuals an opportunity to report alleged...  View Details
Keywords: Hotlines; Compliance Programs; Corporate Misconduct; Governance Compliance; Programs; Performance
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  • August 2019
  • Case

Creating Accountability in Afghanistan
By: Jonas Heese, Gerardo Pérez Cavazos, Eugene F. Soltes and Grace Liu
By early 2019, the United States had contributed $132 billion to the Afghan reconstruction. John Sopko, in his role as the Special Inspector General for Afghan Reconstruction (SIGAR), was in charge of providing accountability for U.S. aid funding. Sopko’s oversight...  View Details
Keywords: Auditing; Fraud; Accountability; Crime and Corruption; Law Enforcement; Governance; Infrastructure; Information; Networks; Strategy; Afghanistan
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  • Article

Evaluating the Effectiveness of Corporate Compliance Programs: Establishing a Model for Prosecutors, Courts, and Firms
By: Eugene F. Soltes
When prosecutors, courts, and regulators make charging and sentencing decisions, they must evaluate whether firms have effective compliance programs. Such evaluations are difficult because of the challenges associated with measuring effectiveness. Notably, these...  View Details
Keywords: Corporate Governance; Governance Compliance; Performance Effectiveness; Performance Evaluation
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  • April 2018 (Revised December 2018)
  • Case

The Whistleblower at International Game Technology
By: Aiyesha Dey, Jonas Heese and James Weber
Robert Mayhem, a senior manager at International Game Technology, had filed a whistleblower report with the U.S. Securities and Exchange Commission alleging that the company had misstatements in its financial reports. Mayhem’s report involved IGT’s practice of...  View Details
Keywords: Whistleblower; Financial Reporting; Governance Compliance; Ethics
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  • Article

Why Compliance Programs Fail: And How to Fix Them
By: 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...  View Details
Keywords: Governance Compliance; Programs; Employees; Training; Performance Effectiveness; Measurement and Metrics
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