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Government Enforcement Exposed - "The GEE"
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25 Apr 2017 The Yates Memo – DOJ Issues Questions and Answers: Question 5

  *This is the sixth in a series of blog posts that examines seven FAQs issued by the DOJ in response to questions raised by the Yates Memo. The fifth of these questions addresses what happens if a company cannot determine who did what within the organization.   Question: What happens if a company cannot determine who did what within the organization or is prohibited from providing that information to the government?   The simple answer to this question is that the company seeking cooperation credit has the burden of providing a compelling explanation to the DOJ if the corporation is not able to identify all wrongdoers and provide all relevant facts.   By way of background, before the Yates Memo was issued, the government typically would…

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31 Mar 2017 DOJ’s Corporate Compliance Program Guidance Provides Succinct Resource for Companies

  The U.S. Department of Justice (DOJ) Criminal Division, Fraud Section recently issued guidance, “Evaluation of Corporate Compliance Programs,” that provides a succinct resource to guide companies in their review and evaluation of their compliance programs. Notably, this is the first formal guidance on corporate compliance issued by the DOJ under the Trump administration and newly appointed Attorney General Jeff Sessions. Much of the guidance can be gleaned from other sources, such as the United States Sentencing Commission’s “Guidelines Manual” or the “United States Attorneys’ Manual,” however the new guidance is a useful collection of topics and sample questions that may be asked during a fraud investigation.   In its introduction, the guidance references the commonly known “Filip Factors” that “describe specific factors that prosecutors…

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24 Nov 2015 DOJ Fraud Section Retains New Compliance Counsel

The Department of Justice (DOJ) Fraud Section recently retained Hui Chen as a full-time compliance expert reporting to the chief of the Fraud Section and the acting chief of the Strategy, Policy, and Training Unit in the Fraud Section. Formerly a federal prosecutor, Ms. Chen most recently served as global head for Anti-Bribery and Corruption at Standard Chartered Bank (SCB). Ms. Chen’s vita also includes her time as assistant general counsel in the Compliance Division of Pfizer, Inc., as well as significant in-house and compliance positions at Microsoft Corporation, to include Director of Legal Compliance for the Greater China Area.   Beginning Nov. 3, Ms. Chen “will provide expert guidance to Fraud Section prosecutors as they consider the enumerated factors in the United States Attorneys’…

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