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Rob Robinson: Evaluating Corporate Compliance Programs? Updated DOJ Criminal Division Guidance

Tuesday, June 9, 2020   (0 Comments)
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Extract from Rob Robinson's article "Evaluating Corporate Compliance Programs? Updated DOJ Criminal Division Guidance"

Editor’s Note: The Criminal Division earlier this month announced the release of a guidance document for white-collar prosecutors on the evaluation of corporate compliance programs.  The document, entitled “The Evaluation of Corporate Compliance Programs,” updates a prior version issued by the Division’s Fraud Section in April 2019. The guidance document sets forth topics that the Criminal Division has frequently found relevant in evaluating corporate compliance programs and it may be beneficial for legal, business, and information technology professionals in the eDiscovery ecosystem as they consider audits, investigations, and litigation in the area of corporate compliance.

An extract from the updated DOJ Criminal Division Evaluation of Corporate Compliance Programs Document


Evaluation of Corporate Compliance Programs

General Introduction Extract

This document is meant 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).

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