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DOJ Releases “The Evaluation Of Corporate Compliance Programs” Guidance Document

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Earlier this week, the DOJ Criminal Division released this guidance document titled “The Evaluation of Corporate Compliance Programs” (ECCP).

The latest version of the guidance document which “sets forth topics that the Criminal Division has frequently found relevant in evaluating a corporate compliance” is likely to generate a substantial amount of coverage. However, there is little new substantive information in the document compared to the DOJ’s February 2017 release of its Evaluation of Corporate Compliance Programs (see here for the prior post) and in fact there was little new information in the February 2017 document as it cited to sources long in the public domain). Indeed, the ECCP contains a spot-on footnote which states that many of the topics discussed appear in other resources long in the public domain.

While the ECCP is not Foreign Corrupt Practices Act specific, it is FCPA relevant. Nevertheless, the policy issue raised with the ECCP (as well as other forms of DOJ guidance) is what should happen if a business organization acts consistent with the factors, but an employee nevertheless exposes the entity to legal liability. Consistent with the FCPA-like laws of many peer countries, this should be relevant as a matter of law and not merely in the opaque, inconsistent, and unpredictable world of DOJ decision making. (See here).

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Assistant Attorney General Benczkowski On … With Rebuttal Points

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Another day another Foreign Corrupt Practices Act speech by a Department of Justice official.

Earlier today Assistant Attorney General Brian Benczkowski talked about mutual interests between the DOJ and business organizations, transparency, and the DOJ FCPA corporate enforcement program.

This post excerpts the speech and provides various rebuttal points.

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Deputy Attorney General Rosenstein Delivers Yet Another FCPA Speech … With Rebuttal Points

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Yet another Foreign Corrupt Practices Act speech by Deputy Attorney General Rod Rosenstein.

(See here, here, here, here and here for other recent speeches).

This post excerpts the speech and provides various rebuttal points using actual facts.

Rosenstein began his speech talking about general issues and stated:

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Deputy AG Rosenstein On ….

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Recently outgoing Deputy Attorney General Rod Rosenstein delivered this speech to a university audience. Like many of Rosenstein’s prior speeches highlighted on these pages, the speech was a pleasure to read for its general advice.

For instance, Rosenstein stated: “Today, you are relentlessly bombarded with information, much of it of unknown reliability. The internet lets people share their most ignorant thoughts. Many news stories rely on anonymous sources, without providing details to assess their credibility and bias. Some critics worry that our society will be unable to distinguish fact from opinion, and truth from fiction.”

Perhaps Rosenstein was talking about certain FCPA commentary? (See here, here and here for instance).

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SEC Co-Director Of Enforcement Peikin On International Cooperation

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Recently Steven Peikin (Co-Director of the SEC’s Enforcement Division) delivered this speech in which he talked about international cooperation and how it is “critical to the SEC’s civil law enforcement success” including the Foreign Corrupt Practices Act space.

In addition, Peikin stated that “vigorous enforcement of the FCPA remains a high priority for the SEC.”

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