Corporate Compliance Program Evaluation (DOJ)

The Corporate Compliance Program Evaluation Playbook addresses the following areas:

• Risk Assessment
• Policies and Procedures
• Training and Communications
• Confidential Reporting Structure and Investigation Process
• Third Party Management
• Mergers and Acquisitions (M&A)
• Commitment by Senior and Middle Management
• Autonomy and Resources
• Incentives and Disciplinary Measures
• Continuous Improvement, Periodic Testing, and Review
• Investigation of Misconduct
• Analysis and Remediation of Any Underlying Misconduct