Dept. of Justice Compliance

The United States Department of Justice is a federal executive department established in 1870 by federal statute. The Department is headed by the Attorney General and is responsible for administering and... more +
The United States Department of Justice is a federal executive department established in 1870 by federal statute. The Department is headed by the Attorney General and is responsible for administering and enforcing federal law. The Department is compromised of many different divisions which handle a wide variety of civil and criminal issues.    less -
News & Analysis as of

Foreign Corrupt Practices Act Enforcement 2016: In Like A Lamb, Out Like A Lion

In 2015, the U.S. Government significantly bolstered its resources dedicated to combat international corporate bribery under the Foreign Corrupt Practices Act ("FCPA"). By announcing the addition of a team of FCPA-dedicated...more

How well do you know your compliance program? 6 simple tools

In light of DOJ’s recent guidance, most companies understand that “paper” compliance programs are no longer enough to protect a company when a regulator comes knocking. Companies are under increasing pressure to demonstrate...more

Anti-Corruption Compliance beyond Headquarters: Improving Practices in Subsidiaries and Regional Offices

Effective anti-corruption compliance programs are fundamental in today’s corporate environment. However, even the most comprehensive controls put in place by companies may face difficulties in execution. It is not uncommon,...more

St. Mark’s Basilica and Updating Your Code of Conduct

The Venice Travel Edition continues today by focusing on Saint Mark’s Basilica, one of both Venice’s and the world’s treasures. It sits on Saint Mark’s Square, one of the most famous locations in all of Italy. While today it...more

The Antitrust Leniency Model and FCPA Enforcement

I am always wary of simplistic policy proposals – often the simple idea to apply one policy to another subject matter, just does not work. Instead, policy debate will turn to the simple idea and how it can easily be applied...more

Tribute to David Bowie and VW’s Cooperation Posture

We interrupt this week’s Travel Edition blog posts to honor David Bowie, who died yesterday. To say his album Diamond Dogs was a revelation is simply because it is the only word which comes close. During my final semester in...more

[Webinar] Yates Memo Update—Individual Accountability and Best Practices for Executives: WilmerHale Financial Institutions Webinar...

Join WilmerHale for the kickoff session of the 2016 Financial Institutions Webinar Series, where attorneys will explore recent developments and legal issues affecting financial institutions and providers of financial...more

The Five Top Compliance Related Events of 2015

Having gone through the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) enforcement year for the Foreign Corrupt Practices Act (FCPA), I would now like to turn to my Top Five compliance related events...more

The Person (Idea) of the Year – Corporate Ethics and Culture

Each year I have identified the so-called “person” of the year to capture the most significant enforcement and compliance trend. In the past, I have given the award to the Chief Compliance Officer, the Ethics Officer, the...more

FCPA Year for the DOJ in 2015

Foreign Corrupt Practices Act (FCPA) enforcement by the Department of Justice (DOJ) was a bit different in 2015 than the preceding years. Obviously the record fines and penalties of 2014 dropped considerably. Further, there...more

Ethics and Compliance Predictions for 2016

The New Year brings new promise for compliance professionals. I always sympathize with compliance officers because of their inevitable conflict – their idealism often is confronted by corporate realities – a CEO who...more

Preventing Terrorism with AML Accountability AND Budgeting

Preventing money from getting to terrorists is a chief goal of AML programs. But at a basic level an AML program is only as strong as its budget, regardless of how good the CCO is. Can we hold CCOs criminally accountable for...more

Star Wars Week Part IV – Disruption Innovation in Compliance

Today I return to the original Star Wars movie entry, Episode IV – A New Hope. I do not think I can say too much about the movie, which has not been already said or written, but it is still one of my all time favorites. It...more

VW Scandal Bears Out Emphasis on “Culture of Compliance”

Last week, VW blamed its “culture” for allowing “individual misconduct” that lead to the emissions-testing-evasion scandal engulfing the company. It reminded me of a couple of corporate-compliance mantras and of DOJ’s recent...more

Takeaways From UK's 1st Deferred Prosecution Agreement

In a judgment published on Nov. 30, Lord Justice Brian Leveson approved the first deferred prosecution agreement in the U.K., which was negotiated between the Serious Fraud Office and ICBC Standard Bank PLC. Lord Justice...more

Weak Compliance Programs Won’t Protect You from Criminal Misconduct

The Department of Justice’s (DOJ’s) Criminal Division has now hired “Compliance Counsel” but the Department has no plans to move towards making a formal compliance defense available to those charged with regulatory...more

Structural Compliance and Cultural Ethical Change in an Organization

Sometimes corruption is so endemic in an organization that you wonder if the organization should just blow itself up and start over. In a company going through a Foreign Corrupt Practices Act (FCPA) investigation, a Board of...more

DOJ’s Compliance Counsel & Compliance Expectations

The Justice Department’s hiring of Hui Chen as the new Compliance Counsel is an important development in DOJ’s prosecution of corporate defendants. It is not clear yet what impact Ms. Chen will have. At a recent event at NYU,...more

AML and Sanctions Compliance Issues Facing Digital Currency and Blockchain Companies

The United States Department of Justice convened an unprecedented Summit on Digital Currency and the Blockchain on November 9, 2015. The reported goal of the Summit was to promote a dialogue between the government and...more

DOJ Settles with For-Profit Education Company Over Alleged FCA Violations

On November 16, the DOJ announced a $95.5 million settlement with the country’s second-largest for-profit education company to resolve alleged federal and state violations of the False Claims Act (FCA). According to the DOJ’s...more

Assistant Attorney General Caldwell Provides Insight on Corporate Compliance and the Fraud Section’s New Compliance Expert

On November 2, at a speech at the Securities Industry and Financial Markets Association (SIFMA) Compliance and Legal Society New York Regional Seminar, Assistant Attorney General Leslie Caldwell discussed compliance issues...more

Corruption Risk and Prosecution are Real and They are not Going Away

On November 11, the The Wall Street Journal ran a story with a fairly provocative headline: "U.S. Justice Department Makes Radical Shift on Foreign Bribery Enforcement." Whether DOJ is making a radical shift or not, corporate...more

DOJ, SEC Change “Cooperation Credit” Process, Add Resources to Fight Corruption

During recent speeches Deputy Attorney General Sally Yates and SEC Enforcement Division head Andrew Ceresney announced changes to the processes the DOJ and the SEC will use to decide if a company will receive “cooperation...more

DOJ Hires Compliance Expert: Now Is The Time To Assess Your Compliance Program – Does It Have Teeth Or Is It Merely A Paper Tiger?

On November 2, 2015, Leslie R. Caldwell, Assistant Attorney General for the Criminal Division at the U.S. Department of Justice ("DOJ"), announced the hiring of a new corporate compliance counsel, Hui Chen, who will act as an...more

Farewell to Jonah Loma and the Bookend to the Yates Memo

Jonah Lomu died this week. If you have more than a passing interest in sports, you will recognize Lomu as one of the very few game-changers in a sport, his being rugby. I do not pretend to understand the sport very well...more

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