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Ethics and Responsibility Question

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wraith808:
Considering there are people with both experience in consulting, and the capability of rational thought combined with a definite moral compass, I figured I'd ask a question of the developers here regarding a ethical question that was posed to me.  Theoretically, if one consulted for a financial institution in the past (along the size of "Too Big To Fail") and someone that still worked full time for that institution contacted the consultant outside of channels for questions regarding things that might indicate that the current state/practices might (no smoking guns) violate SOX requirements (link to specific area), would one be ethically required to report such possible violations?

KynloStephen66515:
Ethically, no, seeing as you are no longer hold any position within said company, and if its not breaking the law per sé, then you have no legal requirement to do so.  Morally speaking, however, is a different matter.  If you FEEL you MUST report it, then how do you explain how you gathered the evidence about it, without the person who gave you this information being "Dropped In It" so to speak.

This is only my opinion on the matter.  Others may see it differently/

Stoic Joker:
I would think ethically, yes ... And strategically no - Leave it up to the "outside channel partner" to report it if/as needed.
(^I tend to equate ethics with morals)

Without a confirmed smoking gun, it just to easy to blow yourself (and/or your friend) out of the water.

Ath:
+1 what Stephen says.

How do you want to feel at the end of the day?

40hz:
I think the condition that someone acting in an (implied) unofficial capacity contacted someone "outside normal channels" puts it squarely into 'dealer's choice' country as to any follow-up action.

From a purely pragmatic viewpoint it's important to ask yourself how involved you want/need to be in this situation.

In my particular case, I make it a point not to pass judgements or participate in any "off the record" discussions where violations of law may be concerned.

I will give testimony in court, or before a regulatory panel - or participate in a discussion with acknowledged "parties responsible" if I have a contractual or other legal relationship with the organization involved. But as a purely outside party with no current legal ties or status with the organization in question, I tend to stay clear of involvement unless: (a) I'm subpoenaed to testify; or (b) it's something so egregious and/or illegal that I personally can't live without reporting it.

I guess it all comes down to a matter of what you believe and what price you may have to pay for your involvement in something. Not everybody who suffers is responsible for what was done. Some merely reported it and got caught in the backdraft since the law tends to paint things with a very broad brush. And any involvement with the law, or the government acting in its official capacity, is a headache at best. At least as far as my experience as a consultant goes.

Much like the above comments by Stepehen, SJ, and Ath, my rule of thumb is to do whatever best allows me to sleep at night, and face myself in the mirror.

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