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Ethics and Compliance Programs
Last month, we discussed the fact that a recurrent task facing managers of Ethics and Compliance programs is to make sure their programs are effective, and to demonstrate this effectiveness to both internal and external audiences. We reviewed internal constituencies, including integration with business processes; clear written standards and controls; effective training and communication; and regular monitoring and evaluation. This month, we focus on external constituencies.
How does an Ethics and Compliance officer ensure and demonstrate a program's effectiveness? First, understand the objectives and expectations of each constituency. Then build a program designed to achieve those objectives as well as the company's business objectives. And finally, understand the specific informational needs of each constituent and ensure they are being met.
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.
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.
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.