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Prosecutors weigh in on effective compliance programs

Jaclyn Jaeger | June 6, 2017

The Fraud Section of the Department of Justice’s Criminal Division recently published one of the most comprehensive compliance resources in years, but it came with so little fanfare that it might have flown under the radar of many ethics and compliance departments. Fret not, all was laid bare during a keynote panel at Compliance Week 2017.

In February, the Fraud Section published a document, “Evaluation of Corporate Compliance Programs,” containing eleven sections, each accompanied by sample topics and questions on what the Fraud Section said it may ask in making an individualized determination in evaluating a corporate compliance program.

“We don’t refer to it as guidance,” said Pablo Quiñones, chief of the Strategy, Policy, and Training Unit at the Justice Department’s Fraud Section. “It’s not meant to do anything other than serve as a resource to our prosecutors about the kinds of... To get the full story, subscribe now.