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[White & Case] DOJ Fraud Section Unveils Blueprint for Assessing Corporate Compliance Programs
 작성자 : 관리자
Date : 2017-02-22 14:36  |  Hit : 168  


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Newsflash | White Collar/Investigations

DOJ Fraud Section Unveils 

Blueprint for Assessing 

Corporate Compliance Programs

 

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February 2017

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In the year and a half that has transpired since the DOJ’s Fraud Section retained 

compliance consultant to assist prosecutors’ evaluation of compliance programs,

compliance officers, general counsels and white-collar defense lawyers have called 

for more visibility into what the Fraud Section’s compliance consultant portends for 

companies ensnared in DOJ investigations. The Fraud Section appears to have 

responded.

Last week, the Fraud Section posted on its public website a set of sample topics and questions 

titled "Evaluation of Corporate Compliance Programs" (available here).

The document contains 11 sections, specifically:

·        Analysis and Remediation of Underlying Conduct

·        Senior and Middle Management

·        Autonomy and Resources

·        Policies and Procedures

·        Risk Assessment

·        Training and Communications

·        Confidential Reporting and Investigation

·        Incentives and Disciplinary Measures

·        Continuous Improvement, Periodic Testing and Review

·        Third Party Management

·        Mergers & Acquisitions

"Evaluation of Corporate Compliance Programs" draws from existing guidance, including the 

United States Federal Sentencing Guidelines, the United States Attorney’s Manual and

Resource Guide to the U.S. Foreign Corrupt Practices Act, and published best practices,

including those in the Anti-Corruption Ethics and Compliance Handbook for Business published 

by the Organization for Economic Cooperation and Development, the United Nations Office on 

Drugs and Crime, and the World Bank.


While most of its contents will not strike those well-versed in compliance as particularly

ground-breaking, the document does make more explicit and transparent the factors that the

Fraud Section considers, and the questions it frequently asks, in assessing compliance 

programs. Indeed,the detailed nature of some of the sample questions — especially as they 

concern compliance personnel’s experience, resources and authority — reflects how the Fraud 

Section’s compliance consultant has shaped the framework.


The Fraud Section’s "Evaluation of Corporate Compliance Programs" can thus serve as an 

additional resource, not only for companies and their counsel when preparing 

compliance-related presentations 

or written submissions to the Fraud Section, but also for in-house attorneys and compliance

officers when designing, implementing and updating their companies' compliance programs.

 

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