In praise of 'Goldilocks compliance'

By Jeffrey M. Kaplan

Jeffrey M. Kaplan (jkaplan@kaplanwalker.com) is a Partner with Kaplan & Walker LLP in Princeton, New Jersey, USA.

With the election of Joe Biden as America’s new president, we may have entered an age of political moderation. Could this also be a time for compliance moderates? Consider the following true story.

A company decides to implement what is in effect a zero-tolerance policy for violations of its code of conduct. Unexpectedly, this seems to trigger a drop in the number of reports of violations being submitted. Why? Evidently employees felt the new discipline policy was too harsh, and they did not want to subject their colleagues to it.

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