Chief Compliance Officers are usually very proud of their anti-corruption training programs.  Most companies rely on a combination of live and on-line training programs to communicate the message of compliance. The FCPA Guidance was very clear on the subject of training programs.  The Justice Department and the SEC took a little bit of time to underscore the importance of making a training program relevant and...

Every compliance program depends on collaboration.  No one actor at a company determines the success or failure of a corporate compliance program. One key component of this collaborative effort is the relationship among the Chief Compliance Officer (”CCO”), General Counsel and Internal Auditor.  Neither one of them can do it all no matter how hard they work or how good they are at their respective...

When: May 21 or 22, 2013, 12 Noon to 1 PM Register Here (May 21) or Here (May 22) As more companies design and implement anti-corruption compliance programs, companies need to monitor the performance of their compliance programs. Depending on the size of the company, and the countries in which it operates, audits and other monitoring tools should be used to assess business activities and...

There is a lot of grumbling these days over the Justice Department’s use of Deferred and Non-Prosecution Agreements.  Some think the deals are too lenient and corporations should be required to plead guilty.  Capitol Hill continues to question why individuals are not prosecuted in recent mega-settlements.  Another area of criticism focuses on the detailed compliance conditions imposed on companies. One thing is clear – the...

The bottom-line:  If you do not conduct a risk assessment, then you should start praying.  The FCPA Guidance made it clear – conduct a risk assessment and tailor your compliance program to the risk assessment. In the unfortunate event that your company is involved in an FCPA enforcement action, DOJ and the SEC conduct a thorough review of a company’s compliance program.  If the program...

As the Jodi Arias criminal trial winds down, I have to go out on a limb and make my prediction. I have tried a lot of cases and have a good sense of which way a criminal case will usually break.  Figuring out the Jodi Arias case is compounded by the notoriety of the case and the media coverage (some might say obsession). The trial...

Hospitals continue to be under the Department of Justice-HHS/Office of Inspector General microscope.  DOJ-OIG is a potent combination and carry with them the threat of criminal prosecution, civil false claims enforcement and civil exclusion from federal healthcare programs. Intermountain Healthcare is a hospital chain in Utah, which has 22 hospitals and 185 physician clinics.  In 2009, Intermountain voluntarily disclosed potential Stark Law violations.  In April...

The Justice Department and the SEC should be credited with promoting new compliance strategies and best practices.  Whatever you may think about the DOJ/SEC FCPA enforcement program, they have pushed businesses to enhance their compliance programs and to develop new risk management techniques. In recent years, DOJ and SEC have pushed the concept of proactive audits in high-risk areas.  Internal audits are the first to...

Every company has its share of internal politics, rivalries and tensions.  No organization is free from internal strife.  For a company to be successful, you need talented, ambitious and intelligent people. It is hard for a company to avoid internal struggles, turf wars and competition among rivals.  It is part of the healthy energy which drives a company forward.  Occasionally, internal jockeying can be damaging...

A bribe is a bribe.  It is not as easy as it sounds.  Not all payments of money or transfers of value are bribes.  The FCPA tells us that.  It is even more complicated when trying to navigate Anti-Kickback and Stark law violations. Doctors like to make money.  As the government expands its role in our healthcare system, doctors have to be even more mindful...