New DOJ Guidance for Corporate Compliance Programs: Questions Counsel Should Expect in a Government Investigation

Recording of a 90-minute CLE webinar with Q&A

Conducted on Thursday, May 18, 2017
Recorded event now available

This CLE webinar will provide a detailed analysis of the “Evaluation of Corporate Compliance Programs” report (the report) recently published by DOJ. The panel will prepare corporate counsel to design and implement a compliance program that will withstand DOJ scrutiny and protect its officers and directors from risks and liabilities, including prosecution, in the event of a government investigation.


On February 8, 2017, the Fraud Section of DOJ published pointed and specific guidance on how it assesses—and intends to assess—compliance programs in the report. The report provides insight into the questions corporate counsel should expect from DOJ prosecutors during a criminal investigation and highlights common indicators that DOJ deems a strong corporate culture of compliance.

The report identifies 11 broad topic areas, along with numerous subtopics and questions that prosecutors may ask when evaluating a compliance program. The report reflects DOJ’s continued interest in individual responsibility, as recently articulated in the 2015 Yates Memo, which prioritized individual accountability in corporate investigations. The report further evidences DOJ’s interest in pursuing individuals in cases of corporate wrongdoing.

The report also sets forth a detailed framework of DOJ’s corporate culture expectations. Counsel must lay the groundwork for corporate officers to provide satisfactory answers to DOJ’s questions regarding corporate culture (or explain why they may not apply).

Listen as our authoritative panel provides a detailed analysis of the report and its significance in tying together and expanding upon enforcement guidance previously released by DOJ. The panel will also discuss how the report can be utilized in the design of a robust compliance program which reflects the desired corporate culture and helps protect officers and directors from individual prosecution.


  1. DOJ investigations generally—previous areas of focus
  2. Analysis of the report
    1. Analysis and remediation of underlying conduct
    2. Role of senior and middle management
    3. Autonomy and resources
    4. Policies and procedures
    5. Risk assessment process
    6. Employee training and communications
    7. Confidential reporting and investigation
    8. Incentives and disciplinary measures
    9. Continuous improvement, periodic testing and review
    10. Third-party management
    11. Integration of program into mergers and acquisitions
  3. Designing a robust compliance program in light of the report
    1. Individual accountability
    2. Corporate culture


The panel will review these and other key issues:

  • What is the significance of the new DOJ report relative to previous guidance?
  • What does the new report reveal about DOJ’s investigation priorities going forward?
  • How should compliance programs be designed to reflect an acceptable compliance culture?
  • What compliance actions can be taken to protect officers and directors from personal liability?


Phil Bezanson, Managing Partner
Bracewell, Seattle

Mr. Bezanson represents corporate clients, senior management and boards of directors as well as individual clients in internal investigations, securities enforcement, criminal defense and regulatory matters. He regularly conducts internal investigation and defends corporations and executives facing allegations of securities fraud, antitrust violations, environmental crimes, bribery, mail/wire fraud, tax offenses and other business crimes or regulatory violations. He also assists national and international corporate clients with a wide variety of compliance matters. 

Glen A. Kopp, Partner
Bracewell, New York

Mr. Kopp, former Assistant United States Attorney in the Southern District of New York, focuses his practice on white collar, internal investigations and regulatory enforcement in New York. Prior to joining the firm, he served for five years in the U.S. Department of Justice, handling all phases of the federal criminal process. In private practice and at DOJ, he has handled regulatory enforcement matters, criminal proceedings, litigation and internal investigations relating to financial institutions; corporate, accounting, wire and bank fraud; insider trading; money laundering; options back-dating; securities; export control; and other matters. 


CLE On-Demand - Streaming Video

Includes recorded streaming video of full program plus PDF handouts.

On-demand is the only recorded format recognized for CLE credits in DE, IN, KS, LA, MS, NC, OH, OK, SC, TN, VA, WI.

AK, AZ, CA, CO, CT, DE, FL, GA, HI, IA, ID, IL, IN*, KS, KY, LA, ME, MN, MO, MT, NC, ND, NH**, NJ, NM, NV, NY, OH*, OK, OR, PA, SC, TN, TX, UT, VA, VT, WA, WI, WV, WY (Note: Some states restrict CLE eligibility based on the age of a program. Refer to our state CLE Map for additional information.)

*Only available for attorneys admitted for more than two years. For OH CLE credits, only programs recorded within the current calendar year are eligible - contact the CLE department for verification.

**NH attendees must self-determine if a program is eligible for credit and self-report their attendance.

CLE On-Demand Video $297.00

How does this work?

Recorded Event

Includes full event recording plus handouts.

Strafford is an approved provider and self-study CLE credit is available in most states.

AK, AZ, CA, CO, CT, FL, GA, HI, IA, ID, IL, KY, ME, MN, MO, MT, ND, NJ, NM, NY, OR, PA, TN, TX, UT, VT, WA, WV, WY (Note: Some states restrict CLE eligibility based on the age of a program. Refer to our state CLE Map for additional information.)

Strafford will process CLE credit for one person on each recording.

Additional copies of a recording can be purchased at a discount. Please call Strafford Customer Service toll-free at 1-800-926-7926 ext 10 or email to place your order.

Recorded Webinar Download $297.00

How does this work?

Recorded Audio Download (MP3) $297.00

How does this work?


Strafford webinars offer several options for participation: online viewing of speaker-controlled PowerPoint presentations with audio via computer speakers or via phone; or audio only via telephone (download speaker handouts prior to the program).  Please note that our webinars do not feature videos of the presenters.

Program Materials

Requires Adobe Reader 8 or later. Download Acrobat FREE.

Program Materials

Requires Adobe Reader 8 or later. Download Acrobat FREE.

or call 1-800-926-7926

CLE Credits

Many states grant CLE credits for on-demand streaming audio programs and recorded events. Our programs are pre-approved in many states. Refer to our state CLE map for state-specific information.

or call 1-800-926-7926

Customer Reviews

The webinar was very easy to use and I liked that the speakers were very knowledgeable.

E. Moses Vejil

Bingham Greenebaum Doll

I appreciated the practical advice and seasoned evaluation of the rules.

Kevin Wolf

Ruder Ware

I liked the practicality and thoroughness of the presentation and the handouts.

Barry Jasilli

CVS Caremark

I found it helpful to hear the information and perspectives of all the presenters.

Mary Grace Folwell

Ballard Spahr

The program had good speakers and was an appropriate length of time.

Douglas Van Valkenburg

Day Pitney

or call 1-800-926-7926

Corporate Law Advisory Board

Stuart M. Altman

Director, Corporate Legal Investigations


Mark H. Hain

General Counsel

Assurance America

Michael Hermsen


Mayer Brown

Matthew A. Karlyn


Foley & Lardner

Michael J. Missal

Inspector General

Department of Veterans Affairs

G. Thomas Stromberg


Jenner & Block

or call 1-800-926-7926

Our Guarantee

Strafford webinars are backed by our 100% Unconditional Money-Back Guarantee: if you are not satisfied with any of our products, simply let us know and get a full refund. For more information regarding complaints and refunds, please contact us at 1-800-926-7926 ext 10. Complaints regarding this program can be submitted via the course evaluation found in the “Thank you” e-mail at the end of the course.