Law.com Subscribers SAVE 30%
Call 855-808-4530 or email [email protected] to receive your discount on a new subscription.
Ethics and Compliance Programs
A recurrent task facing Managers of Ethics and Compliance programs is to make sure their programs are effective — and demonstrate this effectiveness to both internal and external audiences.
Since management commitment and support is the fundamental requirement for effective compliance programs, it is essential for ethics and compliance officers (the United States Sentencing Commission used “ethics and compliance” in the changes that it adopted on April 8, 2004, to the Sentencing Guidelines for Organizational Defendants) to successfully demonstrate program effectiveness in order to gain trust and active support of internal audiences, such as senior management, boards of directors, board committees, internal auditors, legal staff and human resources (See ' 8B2.1(b)(2)(A)). External audiences, such as regulators and other governmental officials, the investment community and shareholders often evaluate the company based, at least in part, on its ethics and compliance plan.
The DOJ's Corporate Enforcement Policy: One Year Later
The DOJ's Criminal Division issued three declinations since the issuance of the revised CEP a year ago. Review of these cases gives insight into DOJ's implementation of the new policy in practice.
The DOJ's New Parameters for Evaluating Corporate Compliance Programs
The parameters set forth in the DOJ's memorandum have implications not only for the government's evaluation of compliance programs in the context of criminal charging decisions, but also for how defense counsel structure their conference-room advocacy seeking declinations or lesser sanctions in both criminal and civil investigations.
Use of Deferred Prosecution Agreements In White Collar Investigations
This article discusses the practical and policy reasons for the use of DPAs and NPAs in white-collar criminal investigations, and considers the NDAA's new reporting provision and its relationship with other efforts to enhance transparency in DOJ decision-making.
Bankruptcy Sales: Finding a Diamond In the Rough
There is no efficient market for the sale of bankruptcy assets. Inefficient markets yield a transactional drag, potentially dampening the ability of debtors and trustees to maximize value for creditors. This article identifies ways in which investors may more easily discover bankruptcy asset sales.
A Lawyer's System for Active Reading
Active reading comprises many daily tasks lawyers engage in, including highlighting, annotating, note taking, comparing and searching texts. It demands more than flipping or turning pages.