Page 8 - CCCA 292467 Magazine_Spring 2019

{ LEGAL PERFORMANCE }

From CompliAnCe to integrity

By Theodore Dela Avle, CIC.C

He had a “tell.” He would lean forward in his chair, elbows on his
desk, fngers steepled, a glint in his eyes refracting through his glasses.
a deep breath, then he would deliver his opinion. This typically
happened when a diffcult or thorny issue involving judgment arose.

hile he was an intimidating fgure, Compliance, as the name implies, relates
it was also always a relief to speak to the set of rules (or tools, if you like) that
Wwith him because we all knew his we lawyers use to govern ourselves and the
moral compass was unwavering, and so companies we work for. The many things I
whatever judgment you needed to make, do that relate to compliance include com-
once you spoke with him, you knew you pleting my own CPDs (typically involving
would make the right decision. a fourth quarter drive to complete—the
In essence, this former boss had integ- Super Bowl is imminent as I write this!),
rity. We all knew it: those who worked for ensuring SOX compliance, advising in-
him, those he worked for, those who were ternal clients on the company’s Code of
on opposite sides of a matter, whether Conduct and various other industry pro-
transactional or litigation. He was the cedures. It is a long, often tedious list.
epitome of integrity. Compliance, then, could appear to
How about the rest of us? be a sometimes onerous performance of
Gatekeeper, referee, police, sounding certain activities to check certain boxes
board, business partner, trusted confdante. to satisfy those who oversee us. That is
All these descriptions run the gamut of the not to understate its importance; on the
roles that my former boss and all in-house contrary, the consequences of non-com-
counsel play for their clients at various pliance can be quite serious. However,
points in their careers—sometimes several anyone with a modicum of diligence
in one day. In some ways, compliance and and planning can be compliant so far as
integrity could bookend the roles we play being able to check off the appropriate
or the latter could simply be the manner in boxes. After all, you have the require-
which you ensure the former. ments of the ticky boxes to guide you.

8 CCCa MaGazInE | SPRInG 2019 PRInTEMPS