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Panel Session 5: Compliance & Enforcement

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Panel Session 5: Compliance & Enforcement. Enforcement Actions No set timeframe to start Depends on facts of case Whistleblower/cooperating witnesses SAR/FIU referral - Predicate crime Enterprise theory as blueprint - Trace funds - Concealment - Facilitation

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slide1
Panel Session 5:

Compliance & Enforcement

  • Enforcement Actions
  • No set timeframe to start
  • Depends on facts of case
  • Whistleblower/cooperating witnesses
  • SAR/FIU referral
  • - Predicate crime
  • Enterprise theory as blueprint
  • - Trace funds
  • - Concealment
  • - Facilitation
  • Demands aggressive internal compliance programs/investigations

Brian Frazier, Resident Legal Advisor, UAE and the Middle East, US Department of Justice

slide2
Panel Session 5:

Compliance & Enforcement

Internal Compliance Programs/Investigations (1 of 2)

  • Outside counsel/forensic professionals
  • Objective/specialized
  • Attorney-client privilege/work product doctrine
  • No conflicts
  • Know applicable standards

- Criminal laws/industry regulations

- Professional codes and ethics

- Company handbook/employee code of conduct

Brian Frazier, Resident Legal Advisor, UAE and the Middle East, US Department of Justice

slide3
Panel Session 5:

Compliance & Enforcement

Internal Compliance Programs/Investigations (2 of 2)

  • Evaluate available information
  • Employee witnesses
  • Telephone/email/correspondence
  • Stored electronic data files
  • Self-reporting to authorities

- Must evaluate prospects

- Could minimize exposure

- Government success in ML cases

Brian Frazier, Resident Legal Advisor, UAE and the Middle East, US Department of Justice

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