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On June 1, 2020, the Department of Justice (DOJ) released an updated version of its “Evaluation of Corporate Compliance Programs” guidelines for prosecutors to apply in assessing compliance program effectiveness in the context of resolving criminal investigations of companies (the DOJ Guidance). The latest revisions to the DOJ Guidance — originally published by the DOJ’s Criminal Division in February 2017 and updated in April 2019 — are not voluminous. Nonetheless, the changes reflect a continued and concerted emphasis by DOJ on the robustness of a company’s processes for reevaluation and, as necessary, evolution of the organization’s compliance program to ensure it is not only in place, but working effectively. Parallels to the prominence of measuring and testing compliance programs found in the DOJ Guidance for criminal prosecutions can be found in the practice and policies of the Office of Counsel to the Inspector General for the U.S. Department of Health & Human Services (HHS-OIG), which investigates civil, criminal, and administrative violations of the healthcare laws, often in conjunction with the DOJ.
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Developments in Federal Whistleblowing Programs: What Compliance Officers Need to Know
By Jonathan B. New, Patrick T. Campbell and Lauren Lyster
This article examines recent developments and trends concerning federal whistleblower programs that compliance officers need to know and provides best practices recommendations for ensuring that your company maintains a robust whistleblower and anti-retaliation program in light of increased whistleblower activity.
OFAC Asks Non-U.S. Persons to Advance U.S. Foreign Policy
By Harry Sandick and Gautam Rao
In recent years, U.S. prosecutors and regulators have shown increasing interest in prosecuting people and entities with little or no connection to the United States. This trend has been especially pronounced in the context of the Foreign Corrupt Practices Act (FCPA) and has also extended beyond the FCPA to the prosecution of white-collar crime more generally.
Preserving the Privilege In the Corporate Setting
By Jonathan S. Feld and Kevin Connor
Assessing the risks and liabilities of a potential transaction requires frank and open communication between the parties, including legal counsel. Understanding the scope and limitations of this privilege in transactional settings and who “holds” it is vital to its preservation.
Scared of Your Clients’ Involvement With Cryptocurrency?
By Ross Benson and Robert N. Driscoll
Given the rapid expansion of interest and participation in cryptocurrency transactions, it’s not a matter of whether you have an interest in crypto, think it’s all a bizarre techno-bubble, the eventual replacement for fiat currency, or somewhere in between. The fact of the matter is your clients, and future clients, are more likely than ever to have a connection to this market, and a brief review of the headlines can make this prospect seem terrifying.
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