Episodios

  • Day 31 of 31 Days to a More Effective Compliance Program

    Day 31 of 31 Days to a More Effective Compliance Program
    Jan 31 2018
    I next want to take a deep dive and exploration of the levels of due diligence. Due diligence is generally recognized in three levels: Level I, Level II and Level III. Each level is appropriate for a different level of corruption risk. The key is for you to develop a mechanism to determine the appropriate level of due diligence and then implement that going forward.
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    12 m
  • Day 30 of 31 Days to a More Effective Compliance Program

    Day 30 of 31 Days to a More Effective Compliance Program
    Jan 30 2018
    We previously considered the Prong in the Evaluation of Corporate Compliance Programs which was not present in the Ten Hallmarks of an Effective Compliance Program; that being root cause analysis. This addition was also carried forward as a requirement in the Department of Justice’s new FCPA Corporate Enforcement Policy. I want to consider how you should utilize the results of a root cause analysis in remediating a compliance program. 
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    13 m
  • Day 29 of 31 Days to a More Effective Compliance Program

    Day 29 of 31 Days to a More Effective Compliance Program
    Jan 29 2018
    One new and different item was laid out in the Evaluation of Corporate Compliance Program, supplementing the Ten Hallmarks of an Effective Compliance Program from the 2012 FCPA Guidance. This was the performance of a root cause analysis for any compliance violation which may led to a self-disclosure or enforcement action.
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    12 m
  • Day 28 of 31 Days to a More Effective Compliance Program

    Day 28 of 31 Days to a More Effective Compliance Program
    Jan 28 2018
    Your company has just made its largest acquisition ever and your Chief Executive Officer (CEO) says that he wants you to have a compliance post-acquisition integration plan on his desk in one week. Where do you begin? 
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    13 m
  • Day 27 of 31 Days to a More Effective Compliance Program

    Day 27 of 31 Days to a More Effective Compliance Program
    Jan 27 2018
    A company that does not perform adequate FCPA due diligence prior to a merger or acquisition may face both legal and business risks. While most compliance practitioners have been long aware of the requirement in the post-acquisition context, the 2012 FCPA Guidance focused many compliance practitioners for the need to engage in robust pre-acquisition due diligence. 
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    12 m
  • Day 26 of 31 Days to a More Effective Compliance Program

    Day 26 of 31 Days to a More Effective Compliance Program
    Jan 26 2018
    One of the new areas articulated in the Evaluation of Corporate Compliance Programs was around payments and payroll. For the both the compliance professional and the corporate payroll function, there is a significant role for a corporate payroll function in the operationalization of a corporate compliance program. 
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    12 m
  • Day 25 of 31 Days to a More Effective Compliance Program

    Day 25 of 31 Days to a More Effective Compliance Program
    Jan 25 2018
    The role of the compliance professional and the compliance function in a corporation has steadily grown in stature and prestige over the years. In the 2012 FCPA Guidance (Guidance), under Hallmark Three of the 10 Hallmarks of an Effective Compliance Program (Hallmarks), the focus was articulated by the title Oversight, Autonomy, and Resources. This Hallmark was significantly expanded in both the DOJ's Evaluation of Corporate Compliance Programs and the new FCPA Corporate Enforcement Policy.
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    12 m
  • Day 24 of 31 Days to a More Effective Compliance Program

    Day 24 of 31 Days to a More Effective Compliance Program
    Jan 24 2018
    The role of the Chief Compliance Officer (CCO) has steadily grown in stature and prestige over the years. In the 2012 FCPA Guidance, under Hallmark Three of the 10 Hallmarks of an Effective Compliance Program, the focus was articulated by the title of the Hallmark, Oversight, Autonomy, and Resources. This Hallmark was significantly expanded in both the Evaluation of Corporate Compliance Program (Evaluation) and the new FCPA Corporate Enforcement Policy (Policy). 
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    12 m