Caldwell Lays it Out – DOJ Metrics for a Compliance Program

The DOJ has recently hired compliance counsel who will help the department determine which companies and individuals to prosecute, distinguishing between entities that are serious about compliance from those whose commitment exists only on paper. Assistant AG Caldwell has since remarked on the expectations of companies’ compliance programs. Take note!

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DOJ Warns Against Protecting Wrongdoers

Despite the DOJ's best efforts -- in the form of prosecutions and prison sentences -- some individuals continue to engage in corporate misconduct. The DOJ's recent memo on individual accountability warns against protecting those culpable in the wrongdoing, whatever their position. If the organization wants credit for cooperation, the DOJ expects full disclosure.


The GM Criminal Settlement — Disappointing

Late last week the DOJ announced that GM will pay $900 million to settle criminal charges related to flawed ignition switches that have killed more than 100. No individuals have been indicted, which is shocking given that the company had knowledge of -- and covered up -- this issue for years. The DOJ has fallen woefully short of its ...

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The Sigelman Case and the DOJ’s FCPA Trial Record

Some are foaming at the mouth about the outcome of the FCPA trial of former PetroTiger CEO Joseph Sigelman. However, while the Department of Justice isn't overjoyed with how the case turned out, the outcome isn't at all unusual. The key takeaway here: you win some, you lose some. Will the DOJ overhaul it's FCPA enforcement ...

cyber crime

Justice Department Provides Cybersecurity Guidance

If preparation is the key to success, then the Department of Justice is handing keys out left and right. The DOJ has compiled a list of best practices for how to handle cyber incidents. As abundant as these risks have been of late, organizations ought to be planning for the eventuality that they will come under attack ...


Does Your Compliance Policy Matter to the Antitrust Division?

It appears the Department of Justice may be changing its tune on what makes an "effective" compliance program. Recent statements by authorities at the DOJ's Antitrust Division signal a shift in tone for the agency, toward leniency and away from a strict, hard-line approach. Read more about the apparent change here and what it could portend for ...

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Politics and the FCPA

The country has been whipped into political frenzy in the past few weeks, with the midterm elections looming, last-minute attacks flying, Republicans rejoicing as results poured in and Democrats lamenting the shift in power in the Senate and House. But we compliance practitioners can rest easy, no matter our political leanings; not much will change when it comes ...


Tommy Lewis, Dicky Maegle and the DOJ Call for Individual Prosecutions

Acts of criminal misconduct are - almost without fail - carried out either by an individual or a group of individuals, so it stands to reason that the DOJ would focus its efforts on individual prosecutions rather than to bring charges against the company itself. The company's participation in any resulting investigation is expected, but it should tread ...

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More Empty Words for an FCPA Compliance Defense

Most compliance practitioners recognize that the FCPA compliance defense issue is very much a thing of the past, though some still advocate for it. The troubles with this approach are multiple. Michael Volkov outlines what's off about taking an FCPA compliance defense and why companies that take that route may come to regret it.