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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

Second Edition 


Geoffrey P. Miller 
New York University

2017. 832 pages. ISBN: 978-1-4548-8198-8.

Need the First Edition instead? Click here.

With Teacher's Manual.

About the Book

The first casebook on the law of governance, risk management, and compliance. Author Geoffrey P. Miller, a highly respected professor of corporate and financial law, also brings real world experience 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 only one 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.

New to the Second Edition:

Significantly expanded and updated coverage.  Extensive discussion of the choice between individual and corporate liability in both criminal and civil cases. Comprehensive treatment of new cases and developments.  Inclusion of the GM ignition switch scandal as a case of compliance failure and the RBS data breach as an example of risk-management failure.  New problem sets to spark class discussion.

Casebook Features:

  • Addresses issues of enormous and growing importance that are not covered by other law school casebooks.
  • 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 and one on cases where risk management broke down.
  • 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