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Corporate Compliance Program

Corporate Compliance Program Evaluation (DOJ)

The Corporate Compliance Program Playbook is a fully loaded and editable template that represent the core of what is generally required to demonstrate compliance with the U.S. Department of Justice Criminal Division’s evaluation criteria for an effective corporate compliance program.

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What is the Corporate Compliance Program Evaluation Playbook?

The CCPE: 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
 

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You Also Get

Policy Document Template

Policy Document Template

These templates are designed to be a starting point for your clients, which can be tailored for your client's specific organizational needs.

Overview Flow Charts

Overview Flow Charts

A diagrammatic representation of the flow of assessment activities within your playbook.

Instructions

Instructions

Our instructions for use. These are the same for all our playbooks, once you know how to use one, you can use them all.

Tutorial

Tutorial

A PowerPoint tutorial on the specific playbook, covering the most important aspects of this area of assessment.

 

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Related Playbooks

Corporate Compliance Program Evaluation

Based on Authoritative Sources

 

US Securities and Exchange Commission FRC FFIEC European Commission COSO
 

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