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Effective compliance programs play a critical role in preventing misconduct, facilitating investigations, and informing fair resolutions. Today’s guidance document is part of our broader efforts in training, hiring, and enforcement to help promote corporate behaviors that benefit the American public and ensure that prosecutors evaluate the effectiveness of compliance in a rigorous and transparent manner.

Assistant Attorney General Brian A. Benczkowsk

Is the Compliance Program Well-Designed? 

The guidance emphasizes a focus on a living, breathing, evolving compliance program that is designed to prevent and detect misconduct, and specifically discusses six elements of a well-designed compliance program aimed at preventing and detecting wrongdoing.

Within each of these six elements, the board of directors and management should be able to affirmatively answer questions that provide the necessary probing on both functionality and effectiveness of the compliance program design.

Download: A PROSECUTOR’S GUIDE TO EVALUATING A COMPLIANCE PROGRAM

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