Clifford Chance

Through New Compliance Guidance, DOJ Encourages Building and Assessing Effective Compliance Programs

June 17, 2020

The US Department of Justice, Criminal Division, has updated its guidance governing what makes a corporate compliance program effective, affording additional visibility into how prosecutors will evaluate companies in connection with alleged wrongdoing. DOJ does not use a "rigid formula" to assess corporate compliance programs, instead evaluating each company's risk profile and steps taken to mitigate that risk. DOJ in recent years has been investing in developing internal expertise on compliance, and is continuing its trend to emphasize mitigating and aggravating factors depending on the strength of a company's compliance framework.

Companies should consider DOJ's guidance when developing or updating their sustainable compliance programs, and ensure that their programs have considered DOJ's expectations.

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