Title

White Collar Update: New DOJ Guide to Evaluation of Corporate Compliance Programs
Client Memorandum

Created date

3/6/2017

The Fraud Section of the U.S. Department of Justice (“DOJ”) Criminal Division (the “Fraud Section”) recently published an Evaluation of Corporate Compliance Programs (the “Evaluation”) that sets forth the most common criteria that the Fraud Section uses to assess the effectiveness of a corporation’s compliance program.  The existence and effectiveness of a compliance program and remedial efforts to implement or improve such a program are among the factors (commonly known as the “Filip Factors”) DOJ considers in conducting corporate investigations, making charging decisions, and negotiating resolutions.  The Evaluation provides insight into DOJ’s assessment process when evaluating these factors.  The Evaluation is consistent with DOJ’s previous guidance, but reemphasizes the importance of maintaining a strong compliance program to prevent and remediate misconduct.