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About the Book

The Law of Governance, Risk Management, and Compliance

Front Cover - The Law of Governance, Risk Management, and Compliance

Geoffrey P. Miller
Stuyvesant P. Comfort Professor of Law
Director, Center for Financial Institutions
Co-Director, Program on Corporate Compliance and Enforcement
New York University Law School

2014. 976 pages. ISBN: 978-1-4548-4544-7. With Teacher's Manual.

About the Book

The Law of Governance, Risk Management, and Compliance is the first casebook of its kind. Author Geoffrey P. Miller, a highly respected professor of corporate and financial law, brings real world experience and a wealth of knowledge to the book as a member of the board of directors and audit and risk committees of a significant banking institution. The book addresses issues of fundamental importance for any regulated organization (the $13 billion settlement between JPMorgan Chase and its regulators is onlyone of many examples).  This book can be a cornerstone for courses on compliance, corporate governance, or on the role of attorneys in managing risk in organizational clients.

This groundbreaking casebook:
  • Addresses issues of enormous and growing importance that are not covered by other law school 
  • Presents numerous cutting edge issues in a rapidly growing body of law and practice. 
  • Covers a subject matter that is a major employment opportunity for law school graduates
  • Professors who adopt this book participate in a new and burgeoning field of academic study and legal practice
  • Covers general issues as well as specific fields of compliance and risk management. 
  • Includes two sets of case studies—one on cases where compliance programs broke down (e.g., Enron, WorldComm, and JP Global), and one on cases where risk management broke down (e.g., UBS and the financial crisis, and JPMorgan Chase and the London whale). 
  • Features fewer cases and a higher ratio of author-written text and materials drawn from regulatory publications than in typical law school casebooks. 
  • Authored by a professor who is also an independent director of a financial institution
  • An extensive and user-friendly Teacher’s Manual

Preface / Sample Chapters