Compliance Perspectives

By Adam Turteltaub While most eyes have focused on the US Department of Justice’s document Evaluation of Corporate Compliance Programs when looking for guidance, it’s not the only DOJ source out there. Josh Drew (LinkedIn), Member, Miller & Chevalier explains that it would be wise to also look to Attachment C. What is it? It’s a document typically attached to Foreign Corrupt Practices Act (FCPA) resolutions. It specifies what the defendant company will need to do to establish and maintain an effective corporate compliance program. As a result, it, like the Evaluation document, provides very clear guidance as to what the DOJ’s thinking is when it comes to compliance. In August and September 2023 there were several changes to Attachment C. For one, it expanded the call for support from senior management down to include midlevel management as well. It specifically points to the importance of their tone and conduct:  “The Company will ensure that mid-level management throughout its organization reinforce leade