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Fair Process Doctrine

UB Greensfelder LLP

Order Granting Motion To Vacate Arbitration Award Raises Question: Is FINRA’s Meeting Its Obligation To Provide A Fair Process?

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Motions to vacate an adverse arbitration award are rarely granted by courts. Indeed, that should come as no surprise to anyone inasmuch as the awards rendered at the conclusion of the arbitral process are explicitly designed...more

Dechert LLP

U.S. Federal Court of Appeals Confirms that Schools Must Provide Fair Process in School Disciplinary Proceedings—No Ifs, Ands, or...

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Key Takeaways: The Sixth Circuit’s Doe v. Oberlin College decision confirms that in college and university disciplinary cases, fair processes are not optional; they apply to everyone alike—whether the accused or the...more

Thomas Fox - Compliance Evangelist

My Father, Institutional Justice and Veteran’s Day

Procedural fairness is one of the things that will bring credibility to your compliance program. Today it is called the Fair Process Doctrine and this Doctrine generally recognizes that there are fair procedures, not...more

Troutman Pepper

Involuntary Withdrawal Policies: No Room for Mental Health Stereotypes in a Fair Process

Troutman Pepper on

In a recent blog post, ACE General Counsel Peter McDonough outlined principles recognized by the U.S. Department of Education’s Office for Civil Rights (OCR) as guideposts to avoid running afoul of the Americans with...more

Thomas Fox - Compliance Evangelist

Sherlock Holmes Week – Part II: The Abbey Grange and Institutional Justice

This week returns to one my favorite themes for every Chief Compliance Officer (CCO), compliance professional and compliance program: Sherlock Holmes. Over the next few days, I will be blogging on themes from the short...more

Thomas Fox - Compliance Evangelist

Evolution of Best Practices – Part II

One of the key lessons I learned in doing the research for The Complete Compliance Handbook is the evolution of compliance programs beyond the basic formulation laid out in the 2012 FCPA Guidance’s Ten Hallmarks of an...more

Thomas Fox - Compliance Evangelist

Remembering My Father to Honor Veteran’s Day

Procedural fairness is one of the things that will bring credibility to your compliance program. Today it is called the Fair Process Doctrine and this Doctrine generally recognizes that there are fair procedures, not...more

Thomas Fox - Compliance Evangelist

Thaler Wins the Nobel Prize and Informs Compliance Programs

Richard H. Thaler won the Nobel Prize in Economics yesterday. Binyamin Appelbaum, reporting in a New York Times (NYT) a piece entitled, “Nobel in Economics Is Awarded to Richard Thaler”, wrote that “Thaler, whose work has...more

Thomas Fox - Compliance Evangelist

Operationalizing Compliance Through Your Tone in the Middle

One of the ways that Human Resources (HR) can help to operationalize compliance is to assist each level of an organization to have a proper tone. While the top of an organization rightly gets much of attention, the tone about...more

Thomas Fox - Compliance Evangelist

Day 11 of One Month to Better Compliance Through HR-the Fair Process Doctrine

Procedural fairness is one of the things that will bring credibility to your Compliance Program. Today it is called the Fair Process Doctrine and this Doctrine generally recognizes that there are fair procedures, not...more

Thomas Fox - Compliance Evangelist

Institutional Justice and Compliance

I end my week based upon recent obituaries by focusing on one from late 2015 that has been the most significant to me in the year of 2016. It was that of my father, Dr. Milden Jean Fox, Jr., who passed away on this date one...more

Thomas Fox - Compliance Evangelist

Why Working in Compliance is so Meaningful to Me

I began this week talking about passion in the compliance profession and then explored why employees viewed their work as meaningful, how companies could negate those views and then what leaders could do to facilitate making...more

Thomas Fox - Compliance Evangelist

Why Working in Compliance is Meaningful – Part II

This week I am considering the passion compliance professionals have for our profession. On Monday I wrote about being passionate about working in the field of compliance. Yesterday, I looked at some of the research and...more

Thomas Fox - Compliance Evangelist

Hallmark 6-Incentives and Disciplinary Measures

The FCPA Guidance states, “In addition to evaluating the design and implementa­tion of a compliance program throughout an organization, enforcement of that program is fundamental to its effec­tiveness. A compliance program...more

Thomas Fox - Compliance Evangelist

Greatest Live Album of All-time and Fostering a Culture of Compliance

On the 14th February 1970 The Who recorded what I consider to be the best, or at the very least my favorite, live album of all-time. They recorded their concert at the University of Leeds and the resulting album was named The...more

Thomas Fox - Compliance Evangelist

Communicating Culture Outside the US – Part 2

Yesterday, I began an exploration about some of the issues around communicating corporate culture to business units located outside the US and away from the corporate office. This series is based on a recent article in the...more

Thomas Fox - Compliance Evangelist

Tribute to Bob Fox-The Fair Process Doctrine in Compliance

Today’s is a personal blog post. My father, Dr. Milden Jean Fox, Jr. “Bob” passed away last week. He was born in 1926 and was part of what we rightfully call the “Greatest Generation”. We call them this for a whole host of...more

Thomas Fox - Compliance Evangelist

Highway 61 Revisited Week – Ballad of a Thin Man: Fair Process and Setting Expectations in Your Compliance Program

The Ballad of the Thin Man revolves around one very square man who keeps blundering into situations that he does not understand. The further he gets into the song, the less he seems to understand. Rock critic Andy Gill has...more

Thomas Fox - Compliance Evangelist

An Event That Changed the World and Fostering Compliance Leadership – Part II

Yesterday, I used the assassination of Archduke Ferdinand and its continuing legacy even up until today to introduce a two-part series about ‘Blue Ocean Leadership’. The assassination and some of its legacies were detailed in...more

Nossaman LLP

Lessons On Peer Review For Calif. Hospitals And Physicians

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On June 6, 2013, the California Supreme Court ruled unanimously in El-Attar v. Hollywood Presbyterian Medical Center that the delegation of a peer-review matter to the hospital's governing board did not violate a physician's...more

Nossaman LLP

California Supreme Court Delivers Key Peer Review Ruling

Nossaman LLP on

The California Supreme Court, on June 6, 2013, ruled unanimously in El-Attar v. Hollywood Presbyterian Medical Center, that the delegation of a peer review matter to the hospital's governing board did not violate a...more

Thomas Fox - Compliance Evangelist

March Madness and Discipline Under the FCPA

Tonight is the finals of the NCAA Men’s Basketball Tournament, known as March Madness. As I went to law school at the University of Michigan, I will be pulling for the Wolverines to win the big game. If you are not a...more

Thomas Fox - Compliance Evangelist

How Does Your Organization Treat Whistleblowers?

As almost everyone knows, Lance Armstrong spoke for the first time about his performance enhancing drug (PED) use recently on Oprah. On the first night he admitted for the first time that he used PEDs during his seven wins at...more

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