Whether we realize it or not, the field of regulatory compliance impacts almost every aspect of our lives. From the food we eat to the shampoo we use to the clothing we wear, everything we touch is impacted by a variety of laws and regulations that make up the surprisingly dynamic field of compliance. Our discussion today focuses on how compliance is more than following rules. Done well, compliance uses creativity, critical thinking and foresight to empower employees, build good businesses and ethical cultures as well as strong brands that serve their customers. We also discuss how organizations like Wells Fargo and Theranos have suffered the long term impacts of NOT having strong regulatory compliance functions.

Andrew Kaufman joined the University of Maine School of Law faculty in 2016, after more than 40 years in private practice as a corporate and transactional attorney. At Maine Law, Andy teaches advanced courses in corporate law and business associations, commercial law, and transactional practice, as well as the law school's course in risk management and compliance. In addition, he is the Director of the Compliance Certificate Program that the law school offers to compliance professionals in the business community. Andy received his bachelor's degree from Yale in 1971 and his law degree from Vanderbilt University Law School in 1974.

Ross Hickey is the Assistant Provost for Research Integrity at the University of Southern Maine and the Director of MeRTEC (“MER-tech”), the Maine Regulatory Training and Ethics Center at USM. Ross has built a nationally-recognized research compliance office that serves not only USM, but institutions throughout the state of Maine. Ross is contacted on a regular basis to provide technical assistance to other institutions on regulatory compliance matters. Ross is a graduate of the University of Maine School of Law.