Voluntary Disclosure Archives

Principal Associate Deputy Attorney General Miller On Voluntary Disclosure, Compensation Clawback, And National Security

By Mike Koehler on September 21, 2023 in Compensation Clawbacks, DOJ, Enforcement Agency Policy, Enforcement Agency Speeches, Ericsson, Executive Compensation, Merger Issues, National Security, Voluntary Disclosure

It is September which means enforcement agency officials hit the “conference circuit” to give scripted speeches.

Today it was Principal Associate Deputy Attorney General Marshall Miller speaking at a private event to discuss “the Justice Department’s corporate criminal enforcement priorities” specifically (in what is perhaps a laughable statement to many who closely follow DOJ enforcement activity) the DOJ’s “commitment to consistency, predictability, and transparency in our corporate enforcement work …”.

Miller began by talking about voluntary disclosure and stated:

Issues To Consider From The Gartner Enforcement Action

By Mike Koehler on May 31, 2023 in Bain, Gartner, Gray Cloud, Root Causes, Statute of Limitations, Voluntary Disclosure

This recent post discussed the approximate $2.5 million FCPA enforcement action against Gartner based on conduct in South Africa – specifically conduct involving the South Africa Revenue Service (“SARS”).

This post highlights additional issues to consider.

Timeline

As stated in Gartner’s most recent annual report (Feb. 16, 2023):

Yes Of Course Our Policy Is Working – Says The Policy Maker

By Mike Koehler on May 25, 2023 in DOJ, Voluntary Disclosure

Even though the government has been encouraging companies to voluntary disclosure Foreign Corrupt Practices Act (and other) issues for approximately 20 years, every few years it seems the DOJ tweaks it voluntary disclosure and related corporate criminal enforcement policy.

The latest example occurred in January 2023. (See here for the prior post).

As long as there have been government programs advocated by government officials, officials have been inclined to proclaim the program a success.

And so it is with the DOJ’s most recent voluntary disclosure revisions.

Assistant AG Polite Says Do Not “Fall Victim To Recency Bias” And Serves Up A Word Salad

By Mike Koehler on March 24, 2023 in DOJ, DOJ Evaluation of Corporate Compliance Programs, DOJ FCPA Corporate Enforcement Policy, Enforcement Agency Policy, Enforcement Agency Speeches, Voluntary Disclosure

Another week, another speech by Assistant Attorney General Kenneth Polite.

In the speech, Polite told an audience of white collar criminal professionals not to” fall victim to recency bias” (even though of course the DOJ facilitates it) and served up a word salad of ambiguous terms and concepts.

I have been reading speeches by DOJ enforcement officials for approximately 15 years and Polite’s speech is one of the worst I have encountered as it is mostly just a play on words.

Deputy Assistant AG Monaco On …

By Mike Koehler on March 13, 2023 in Compliance, Compliance Defense, DOJ, Enforcement Agency Policy, Enforcement Agency Speeches, Executive Compensation, Voluntary Disclosure

Recently Deputy Attorney General Lisa Monaco delivered this speech at the American Bar Association National Institute on White Collar Crime.

Topics discussed included: “inspiring a culture of compliance,” “promoting compliance through compensation and clawback programs,” and “accountability.”

Monaco began her speech as follows:

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Principal Associate Deputy Attorney General Miller On Voluntary Disclosure, Compensation Clawback, And National Security

Issues To Consider From The Gartner Enforcement Action

Yes Of Course Our Policy Is Working – Says The Policy Maker

Assistant AG Polite Says Do Not “Fall Victim To Recency Bias” And Serves Up A Word Salad

Deputy Assistant AG Monaco On …

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