Corporate Compliance and DOJ Guidance: Designing and Implementing Programs Tailored to Company Business and Culture
Recording of a 90-minute CLE webinar with Q&A
This CLE course will address the DOJ's June 2020 updates to its guidance on "The Evaluation of Corporate Compliance Programs" as well as the changes in the updated FCPA resource guide. This is the third version of the document, with the DOJ having issued its initial guidance in 2017 and revised it in April 2019. This further revision is another reminder of the DOJ’s heightened focus and increasing sophistication regarding evaluating compliance programs, including the program's design, implementation, and effectiveness, during government investigations.
Outline
- Program design
- Risk assessment
- Policies and procedures
- Training and communications
- Confidential reporting/investigations
- Third-party management
- Merger and acquisition issues
- Implementation
- Commitment by management
- Autonomy and resources
- Incentives and discipline
- Effectiveness
- Continuous improvement, testing, and review
- Investigation of misconduct
- Analysis and remediation
Benefits
The panel will review these and other key issues:
- What is the significance of the updated guidance relative to past versions of the guidance?
- What do these DOJ insights reveal about DOJ's investigation priorities going forward?
- How should compliance programs be designed and resourced to reflect an acceptable compliance culture?
- What are compliance actions to protect officers and directors from personal liability?
Faculty
Christopher L. Bell
Shareholder
Greenberg Traurig
Mr. Bell represents clients in civil and criminal enforcement, litigation, compliance counseling and regulatory... | Read More
Mr. Bell represents clients in civil and criminal enforcement, litigation, compliance counseling and regulatory advocacy under the major environmental, health, safety and natural resource laws. He conducts internal investigations, responds to grand jury investigations and agency information requests, and negotiates consent, probation, and debarment agreements. Mr. Bell helps clients evaluate and implement compliance and ethics programs under the U.S. Sentencing Commission’s and DOJ’s guidelines, and has assisted companies around the world successfully implement environmental, health and safety management systems. He recently completed a five-year stint as U.S. EPA Independent Monitor overseeing Duke Energy’s compliance with a complex set of debarment and probation agreements arising from Duke’s guilty pleas to criminal violations of the Clean Water Act.
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Michael D. Mann
Partner
Sidley Austin
Mr. Mann is a partner in Sidley’s White Collar: Government Litigation and Investigations practice, where he... | Read More
Mr. Mann is a partner in Sidley’s White Collar: Government Litigation and Investigations practice, where he strategically counsels and defends companies, financial institutions and related individuals in internal, criminal and regulatory investigations, prosecutions and litigations. He is a trusted advisor to senior management and boards of directors faced with some of their most complex and sensitive enforcement and investigation-related issues, including matters concerning alleged bribery and corruption, money laundering, violations of economic sanctions, insider trading, fraud, market manipulation as well as other forms of financial and ethical misconduct.
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John Tan
Partner
Arnold & Porter
Mr. Tan focuses his practice on internal investigations and corporate compliance on behalf of clients in the life... | Read More
Mr. Tan focuses his practice on internal investigations and corporate compliance on behalf of clients in the life sciences and healthcare, automotive, and energy sectors. His work includes counseling companies on FCPA and compliance investigations, responding to government inquiries, and developing compliance programs. He also handles anti-corruption due diligence for corporate transactions.
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