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Comply or Die: Corporate Record Keeping in a Digital World
Although compliance is generally thought of in a regulatory sense, every corporation that could be involved in litigation needs to consider the implications of how and what information is stored. In a sense, heavily regulated industries such as health care, securities, banking, and commodities are in a better position since the specifics of record keeping are set out in great detail. All industries that interact with the government can assume that their time will come. Other corporations may not discover whether they are adequately preserving information until they are faced with a discovery request. In either event, failure to comply can have dire financial consequences. See The Cost of Non-Compliance.)
There are three recent laws that have specific requirements for the electronic retention, protection and dissemination of information: the Gramm-Leach-Bliley Act enacted in 1999 (GLBA); the Health Insurance Portability and Accountability Act of 1996 (HIPAA); and the Sarbanes-Oxley Act of 2002 (SOA). GLBA and HIPAA hold affected enterprises accountable to protect private information while SOA requires companies that issue public securities to establish and maintain internal controls over their financial reporting systems and assess these controls' effectiveness in reports to the Securities and Exchange Commission (SEC).
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The DOJ's Corporate Enforcement Policy: One Year Later
The DOJ's Criminal Division issued three declinations since the issuance of the revised CEP a year ago. Review of these cases gives insight into DOJ's implementation of the new policy in practice.
Use of Deferred Prosecution Agreements In White Collar Investigations
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The DOJ's New Parameters for Evaluating Corporate Compliance Programs
The parameters set forth in the DOJ's memorandum have implications not only for the government's evaluation of compliance programs in the context of criminal charging decisions, but also for how defense counsel structure their conference-room advocacy seeking declinations or lesser sanctions in both criminal and civil investigations.