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Jeffery M. Kaplan

Jeffery M. Kaplan

Leonard N. Stern School of Business
Kaufman Management Center
44 West Fourth Street, 7-194
New York, NY 10012



Jeffrey Kaplan is a partner in Kaplan & Walker LLP, a law firm with offices in Princeton, New Jersey and Santa Monica, California. He specializes in all aspects of assisting companies in developing, implementing, and reviewing corporate compliance and ethics programs - including conducting risk assessments, writing/editing codes of conduct and other policy documents, developing and delivering training, reviewing and developing compliance audit protocols and reporting systems, establishing compliance/ethics offices and advising boards of directors on meeting their fiduciary duties under the Caremark case. He has also assessed corporate compliance programs on behalf of government agencies and serves as a corporate monitor for a prosecutor's office. His compliance program practice has included work for clients in the health care, life sciences, government contracting, insurance, manufacturing, energy, retail, paper, publishing, professional services, telecommunications, technology, securities, private investments, food and chemical fields. He also conducts internal investigations on behalf of boards and companies into allegations of wrongdoing brought by whistleblowers.

Mr. Kaplan is, together with Joe Murphy, co-editor of Compliance Programs and the Corporate Sentencing Guidelines: Preventing Criminal and Civil Liability (West 1993), a leading legal treatise on designing and implementing compliance programs. He has also published many articles and book chapters on compliance programs and is a regular speaker at compliance industry conferences. For many years he was counsel to the Ethics Officer Association (now the ECOA). He received his B.A. (magna cum laude, Phi Beta Kappa) from Carleton College in 1976 and his J.D. (cum laude) from Harvard University in 1980. He is Adjunct Professor - Business Ethics, at the Stern School of Business, New York University, and is a member of the New York and New Jersey bars.

Courses Taught

  • Professional Responsibility

Academic Background

J.D., 1980
Harvard University

B.A., 1976
Carleton College