Compliance, Enforcement, and Risk Management Posts

October 2019 Council Updates

During its meeting in New York City on October 17 and 18, the ALI Council reviewed drafts for seven Institute projects. Drafts or portions of drafts for six projects received Council approval, subject to the meeting discussion and to the usual prerogative to make nonsubstantive editorial improvements.

Updated DOJ Criminal Division Guidance on the “Evaluation of Corporate Compliance Programs”

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On April 30, 2019, the U.S. Department of Justice (“DOJ”), Criminal Division, released updated guidance to DOJ prosecutors on how to assess corporate compliance programs when conducting an investigation, in making charging decisions, and in negotiating resolutions. This guidance emphasizes DOJ’s laser focus on compliance programs, requiring companies under investigation to carefully evaluate, test, and likely upgrade their programs well before the investigation is over.

The Role of the Board of Directors and Executive Management in Promoting an Organizational Culture of Compliance and Risk Management

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The following entry is excerpted from the Black Letter of Tentative Draft No. 1, § 3.07 The Role of the Board of Directors and Executive Management in Promoting an Organizational Culture of Compliance and Risk Management.