Tagged: internal investigations

Match Made in Heaven: Compliance and Human Resources

The corporate compliance function is only as successful as its partnerships with key internal constituencies. Depending on the company and the personnel involved, compliance has to establish and maintain effective working partnerships with key functions, such as human resources, legal, finance, and security. All of the relationships are mutually beneficial. Each component works better when it is able to partner and work seamlessly with another...

Thinking Like a Prosecutor – Yates and Internal Investigations

I respect prosecutors, most of them at least. I had the fortunate opportunity to work with a number of terrific prosecutors. Most are intelligent, hard working and committed to doing the right thing. I recognize that there are times when a prosecutor crosses the line, and for those prosecutors, I have no sympathy. Whatever punishment they receive is usually well deserved. But a very high...

Conflicts Of Interest After the Yates Memorandum

As we continue to operate under the Yates Memorandum, a number of interesting and difficult issues are sure to develop surrounding internal investigations and individual culpability. Corporate internal investigations have to focus on all potentially culpable individuals. Many commentators have incorrectly suggested that the Yates Memorandum will not have an impact on corporate internal investigations and the Justice Department’s prosecution of individuals. These commentators are...

RESCHEDULED Webinar: Conducting Internal Investigations in the Yates Memorandum Era

New Date: June 21, 2016, 12 Noon EST Sign Up HERE The Justice Department’s release of the Yates Memorandum will have a significant impact on corporate internal investigations. Under the new requirements of the Yates Memorandum, investigators will have to prioritize the investigation’s focus on culpable individuals. This new focus will require careful consideration of a range of issues that arise when conducting an internal...

Derailing Internal Reviews, Audits, Assessments and Investigations

Following FCPA enforcement actions provides important insights that can be translated into corporate compliance program best practices. One key element of an effective ethics and compliance program is conducting periodic assessments, and implementing an efficient and responsive internal investigation protocol. Under the Sentencing Guidelines, an effective ethics and compliance program has to prevent and detect potential violations of law and the company’s code of conduct....

Individual Criminal Prosecutions and Deterrence

The issue of deterrence is easy to boil down – a company pays a fine of $500 million for illegal conduct and continues on its merry way. If the same company pays the same fine of $500 million and three of its top executives are prosecuted, convicted, and sent to jail, then the value of deterrence has increased significantly. Common sense tells us that deterrence...

How to Keep Your Whistleblower(s) “Happy” (or Satisfied)

Happiness is when what you think, what you say, and what you do are in harmony – Mahatma Gandhi Happiness is an elusive concept – for some. For others who may be more enlightened or lived for years, happiness is a feeling that can be attained by commitment, determination and awareness.  My keys to happiness are love, gratitude and empathy. Some people are “content” being...

The Antitrust Leniency Model and FCPA Enforcement

I am always wary of simplistic policy proposals – often the simple idea to apply one policy to another subject matter, just does not work. Instead, policy debate will turn to the simple idea and how it can easily be applied in other circumstances. Not to get too cute, but the inquiry requires deciding on which idiom to apply: Is this a situation where: “If...

Yates and Outsourcing Government Investigations

The Justice Department’s recent Yates memorandum on individual accountability is a significant event. Sure, you can always find members of the FCPA Paparazzi who will discount the memo, or relegate it to a mere “political” statement. That view is unfortunate and ignores the real implications of the Yates memo. Such a viewpoint also shows how little members of the FCPA Paparazzi understand the true inner...

Five Requirements for Organizational Justice

Ethical companies, by definition, have a robust system for internal organizational justice. A company that suffers from unequal treatment of similarly situated executives, managers, and employees cannot maintain an ethical culture. Unequal justice will undermine  employee morale, reporting of misconduct, and overall productivity rapidly. Cynicism breeds contempt, and there is nothing like employee discontent when it comes to the sustainability of corporate productivity. To ensure...