Compliance Programs Under Scrutiny
What does the government require both before and after an enforcement action, how are companies responding, and what is the data component of these programs?
This webcast explores government expectations for compliance programs and how companies facing regulatory scrutiny can leverage these programs to position themselves for the best possible outcome.
Our panel of experts discuss:
The Changing Landscape: Have the regulatory goalposts shifted? The impact of recent pronouncements from government agencies, such as the DOJ’s “safe harbor” for companies that disclose misconduct within six months of an acquisition, the initiation of the Compensation Clawback Pilot Program, the DOJ’s revisions to its requirements for effective corporate compliance programs, and new DOJ and SEC policies governing the use of personal devices and third-party messaging platforms.
Early Investigations and Disclosure Considerations: Corporate investigations of possible criminal activity, the tools for identifying such conduct, and considerations for voluntary self-disclosure to the government.
- Post-Resolution Compliance: Legal and technological issues after a company enters into a Deferred Prosecution Agreement, or other resolution that involves ongoing compliance obligations, including how a company can demonstrate an ability to self-monitor and how regulators expect companies to integrate data into their compliance programs.
Peter Skinner, Partner, Morrison & Foerster
Caitlin Sheard, Senior Associate, Orrick
Sheryl Janet George, Senior Associate, Morrison & Foerster
Erin Toomey, Vice President and Managing Director, Epiq
Edward Burke (Moderator), Managing Director, Epiq