Updating Corporate Compliance Programs to Follow New DOJ Guidance

Designing and Implementing Effective Programs Tailored to a Company's Business and Culture

A live 90-minute CLE webinar with interactive Q&A


Tuesday, August 27, 2019 (in 8 days)

1:00pm-2:30pm EDT, 10:00am-11:30am PDT

or call 1-800-926-7926

This CLE webinar will address the DOJ's Apr. 30, 2019 guidance document titled “The Evaluation of Corporate Compliance Programs,” which updates a prior version of the guidance first issued in February 2017. The new guidance provides additional insight into how DOJ will assess a company’s compliance program, including the program’s design, implementation, and effectiveness.

Description

The DOJ recently updated its "Evaluation of Corporate Compliance Programs" in a detailed "Guidance Document" which analyzes three general criteria for such programs (design, implementation, and effectiveness) and outlines specific areas federal prosecutors will consider when investigating and deciding whether to charge corporate entities.

More specifically, the Guidance Document is intended “to assist prosecutors in making informed decisions as to whether, and to what extent, the corporation’s compliance program was effective at the time of the offense, and is effective at the time of a charging decision or resolution, for purposes of determining the appropriate (1) form of any resolution or prosecution; (2) monetary penalty, if any; and (3) compliance obligations contained in any corporate criminal resolution (e.g., monitorship or reporting obligations).” Therefore, familiarity with DOJ expectations is of vital importance to in-house and outside counsel, as well as compliance, risk and audit professionals.

The new DOJ guidance provides a holistic approach to the examination of compliance programs rather than any one aspect of a program or a business. Not only is there explicit discussion of upper and middle management's commitment to compliance, but there is renewed discussion of training of, and confidential reporting by, employees at all levels.

Listen as our authoritative panel provides a detailed analysis of these DOJ materials and their significance in tying together and expanding on enforcement guidance previously released by DOJ. The panel will also discuss the aspects of a robust compliance program that can reflect a strong corporate culture, which helps protect officers and directors from individual prosecution.

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Outline

  1. Program design
    1. Risk assessment
    2. Policies and procedures
    3. Training and communications
    4. Confidential reporting/investigations
    5. Third-party management
    6. Merger and acquisition issues
  2. Implementation
    1. Commitment by management
    2. Autonomy and resources
    3. Incentives and discipline
  3. Effectiveness
    1. Continuous improvement, testing and review
    2. Investigation of misconduct
    3. Analysis and remediation

Benefits

The panel will review these and other key issues:

  • What is the significance of the updated guidance relative to past versions of the guidance?
  • What do these DOJ insights reveal about DOJ's investigation priorities going forward?
  • How should compliance programs be designed and resourced to reflect an acceptable compliance culture?
  • What compliance actions can be taken to protect officers and directors from personal liability?

Faculty

Mann, Michael
Michael D. Mann

Partner
Sidley Austin

Mr. Mann is a partner in Sidley’s White Collar: Government Litigation and Investigations practice, where he...  |  Read More

Park, Jennifer
Jennifer Kennedy Park

Partner
Cleary Gottlieb Steen & Hamilton

Ms. Park is a partner at Cleary Gottlieb Steen & Hamilton LLP. Her practice focuses on compliance programs,...  |  Read More

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Strafford will process CLE credit for one person on each recording. All formats include program handouts. To find out which recorded format will provide the best CLE option, select your state:

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