Skip to content


Harry Cassin
Publisher and Editor

Andy Spalding
Senior Editor

Jessica Tillipman
Senior Editor

Bill Steinman
Senior Editor

Richard L. Cassin
Editor at Large

Elizabeth K. Spahn
Editor Emeritus

Cody Worthington
Contributing Editor

Julie DiMauro
Contributing Editor

Thomas Fox
Contributing Editor

Marc Alain Bohn
Contributing Editor

Bill Waite
Contributing Editor

Russell A. Stamets
Contributing Editor

Richard Bistrong
Contributing Editor

Eric Carlson
Contributing Editor

How To Avoid Prosecution

In a guest post last year, Ryan McConnell and Charlotte Simon said it best:

‘Despite the clear benefits from an effective compliance program, statistics from the U.S. Sentencing Commission reveal that virtually every company convicted of violating federal law lacks an effective compliance program. From 1996 to 2009, only three companies received sentencing credit for having an effective compliance program. The rest either had no program or an ineffective one.’

Although the DOJ doesn’t tell us who it decides not to charge, the McConnell and Simon data does. The DOJ doesn’t charge corporations that have an effective compliance program. The most recent example was Morgan Stanley.

That raises questions about why some business groups are fighting so hard against the FCPA. Wouldn’t it be easier for their members to have effective compliance programs? And wouldn’t that be better for everyone?

Coming soon: What is an effective compliance program?

Hint — it’s pretty simple.

Share this post


Comments are closed for this article!