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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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Biden Administration Corporate Enforcement Policies More Symbolism than Effective Reform
By Robert J. Anello and Richard F. Albert
By undoing some of the higher profile policy changes of the prior administration that many perceived as business-friendly, the current administration has served notice on the business and financial community of a return to practices characteristic of a more aggressive enforcement regime.
With ‘Great Resignation’, Corporations Need to Prepare for the Great Investigation
By Veeral Gosalia
Major crisis events, such as political uprisings or financial downturns, are typically followed by an increase in fraud in the business sector and heightened risk to corporate IP and other sensitive information. Anecdotally, this seems to be proving out again in the recent and ongoing fallout from the pandemic. Even before this Great Resignation movement, corporations across the globe were reporting increases in suspicious activity, data leakage, IP theft and other data risks stemming from departing employees and remote workers.
Potential Criminal and Civil Penalties of Digital Asset Exchanges
By Nola B. Heller and Samson Enzer
This article discusses the potential criminal and civil penalties that companies can face if their employees engage in insider trading in digital assets, and suggests several measures that exchanges can take to reduce their exposure from such risks.
Feds Jumping Into Corporate Privacy and Cybersecurity Enforcement
By David Saunders and Julian L. André
The past 12 months have seen a steady drumbeat of action by federal law enforcement and regulatory agencies of which in-house counsel should take note. Whether new guidance, regulation, investigations, or enforcement activity, the message is clear: The federal government is paying close attention to how companies are handling and protecting their data — especially consumer and sensitive data.
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