S&C Critical Insights – DOJ Corporate Compliance Guidance: Changes and Considerations

August 5, 2019

In this episode, Annie Ostrager and Kate Doniger discuss the recent DOJ Corporate Compliance Guidance that was released in April. They run through significant updates to the Guidance, including the DOJ’s clarification on how it evaluates corporate compliance programs when faced with a charging decision, or resolution of an enforcement action. When investigating an accused corporation, the DOJ focuses on three key factors: the design, application, and efficacy of the corporate compliance program, especially in regards to risk assessment, training, and incident response policy.

Finally, Annie and Kate discuss how the new Guidance could signal a shift in the DOJ’s focus from a more subjective assessment of a company’s “good faith” implementation of a corporate compliance program to a more objective investigation of its actual efficacy.
Annie Ostrager is a Partner in S&C’s Litigation practice, as well as a member of the Criminal Defense & Investigation practice, and the Co-Chair of the Firm’s Labor & Employment Law practice. She boasts a diverse practice focused on issues from employment litigation to corporate compliance, and represents clients such as Goldman Sachs and JPMorgan Chase.
S&C’s Litigation practice focuses on a wide range of issues and has helped shape the evolution of American law over the past century. S&C has litigated a variety of criminal investigations, arbitrations and lawsuits, particularly in regards to corporate compliance issues. S&C’s diverse Litigation practice advises on the entire life cycle of a court case and has represented clients globally.
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