The Fraud Section of the U.S. Department of Justice Criminal Division recently published a summary of important topics and sample questions that it has frequently found relevant in evaluating a corporate compliance program.
The publication (entitled 'Evaluation of Corporate Compliance Programs') includes questions covering 11 topics including analysis and remediation of underlying misconduct; senior and middle management; autonomy and resources; policies and procedures; risk assessment; training and communications; confidential reporting and investigation; incentives and disciplinary measures; continuous improvement, periodic testing and review; third party management; and mergers and acquisitions.
For more information, see here.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
