In June 2020, the U.S. Department of Justice updated its previous guidance on the evaluation of corporate compliance programs in the criminal context. U.S. Department of Justice, Criminal Division, Fraud Section – Evaluation of Corporate Compliance Programs. As part of that update, the DOJ referenced specific factors prosecutors should consider when conducting an investigation of a corporation, determining whether to bring charges, and negotiating plea or other agreements. Moreover, the DOJ also included three “fundamental questions” prosecutors should ask when making informed investigative decisions: (1) Is the corporation’s compliance program well designed? (2) Is the program being applied earnestly and in good faith? (3) Does the corporation’s compliance program work in practice? This two-part workshop will explore answering each of these questions in the affirmative through the effective design, adequate resourcing, dedicated empowerment, and focused implementation of effective – and best in class – corporate compliance programs.
The agenda is available here.
Kimberly Martin, Bradley Arant Boult Cummings LLP
Ashley Garry, Head of Compliance Investigations, Roche Diagnostics Corporation
Lauren Kootman, Assistant Chief (Acting), Corporate Enforcement, Compliance & Policy Unit, Fraud Section, U.S. Department of Justice
Donald J. Ridings Jr., Covington & Burling LLP