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    Nov. 6, 2024

DOJ’s 2024 Edits to the ECCP: Some History and AI Expectations

The DOJ has updated its Evaluation of Corporate Compliance Programs document (ECCP) – a year after it hired former AB InBev CCO Matt Galvin to take the lead on evaluating compliance programs. Galvin, an evangelist for the use of data analytics and artificial intelligence (AI) to improve compliance programs, clearly influenced the edits, which heavily focus on the use of new technologies and data. In this article, we examine the history of edits to the ECCP and the new changes related to AI. A future article will explore other changes in the ECCP, such as an increased focus on protecting whistleblowers from retaliation, how compliance is viewed within an organization, how companies should be incorporating lessons learned into their programs and the DOJ’s continued focus on data analytics. See “Revisiting Compliance Programs in Light of the DOJ’s Updated ECCP” (Sep. 30, 2020).

How to Build a Sustainability Plan After Settling With the DOJ

In recent years, the DOJ has added a requirement to Attachment D in its settlement agreements – companies must develop a sustainability plan that lays out how they will maintain and improve compliance after the settlement obligations come to an end. This article examines how implementing a sustainability plan is instrumental to ensuring a compliance program works in practice and to meeting the obligations of a settlement agreement with the DOJ. It includes insights from experts in the field, including Andrew McBride, Albemarle’s former chief risk and compliance officer and Michael Koenig, JBS’ global chief ethics and compliance officer. See “Meeting DOJ Expectations Post-Resolution Requires Realism and Accountability” (Sep. 11, 2024).

A Side-by-Side Look at the 2024 ECCP Edits

In September 2024, the DOJ announced its first comprehensive revisions to the Evaluation of Corporate Compliance Programs (ECCP) since 2020. While a new version was published in March 2023 reflecting updates related to compliance incentives and companies’ use of messaging apps, these newest edits include “critical additions in three main areas,” Deputy Assistant Attorney General Nicole Argentieri said in her speech announcing the edits. The Anti-Corruption Report has put together this side-by-side comparison of relevant portions of the March 2023 and September 2024 ECCP versions to show exactly what has changed. See “DOJ’s 2024 Edits to the ECCP: Some History and AI Expectations” (Nov. 6, 2024).

To Work Effectively, CCOs Need Authority, Autonomy and Information

Compliance professionals’ seniority within a company, their contact with top decision-makers, and their access to necessary information are critical to success in their roles. So is the ability to influence company culture more broadly within an organization. During a recent panel hosted by the Practising Law Institute, McDermott Will & Emery partner Anne Elkins Murray, Miller & Chevalier counsel Richard Gallena and Booking Holdings vice president Sonia Rye discussed how empowering gatekeepers such as CCOs can enhance compliance. The panel was moderated by Robert Stern, a partner at Weil, Gotshal & Manges. This article distills some of the insights shared by the panelists. See “Thoughts From DOJ Experts on Using Data Analytics to Strengthen Compliance Programs” (May 22, 2024).

Emerging Issues in Workplace Privacy: Data Collected and Employees’ Perspectives

Companies have an increasing range of technological tools at their disposal to monitor employee behaviors. For all the opportunities such tools may bring, the collection of employee data raises risks, including employee resentment and scrutiny from regulators. Counsel from the California Privacy Protection Agency, Sidley Austin and Center for Democracy & Technology recently delved into workplace monitoring trends and issues at IAPP’s Privacy.Security.Risk. 2024 conference. This first article in a two-part series distilling their insights covers the types of employee data companies are collecting and how and why they collect it, as well as employees’ concerns and how to navigate them. Part two will address the law and regulatory efforts relevant to employee monitoring as well as best practices and compliance strategies companies should consider when collecting employee data. See “Navigating U.S. Privacy Laws in Internal Investigations” (Aug. 28, 2024).

OpenAI Hires Former DOJ Official As First-Ever CCO

OpenAI has announced that former DOJ Associate Deputy Attorney General Scott Schools has joined the company as its first-ever CCO. He arrives from Uber Technologies, where he served as chief ethics and compliance officer for the past six years. For insights from OpenAI, see “Welcome to the GPT Store – and Its Three Million Security Uncertainties” (Jul. 3, 2024).

Former Federal Prosecutor Joins Gibson Dunn in New York

Gibson Dunn has announced that Dani James has joined as a partner in New York. She arrives from Kramer Levin. For insights from Gibson Dunn, see “Answers to Six Key Questions About How Enforcers View Gatekeepers” (Oct. 9, 2024).

Most-Read Articles

Spotlight on Trailblazing Women

To mark International Women’s Day 2024, women editors and reporters of ION Analytics interviewed outstanding women in the industries and jurisdictions we cover. In this part, Jill Abitbol, Managing Editor of the Cybersecurity Law Report and Anti-Corruption Report, features notable women in data privacy, cybersecurity, white collar defense, compliance and anti-corruption law, including Christina Montgomery, Leslie Shanklin, Palmina Fava, Alexandra Ross and Lucinda Low. Enjoy reading their inspiring remarks here.

Ion Analytics' Spotlight on Trailblazing Women

In honor of International Women’s Day, some of ION Analytics' editorial teams led by women interviewed notable women in the markets and industries we cover. This part highlights notable women in compliance and hedge fund, data privacy and cybersecurity, and anti-corruption law, including Amii Barnard-Bahn, Abigail Bell, Genna Garver, Jane Horvath, Barbara Li, Amy Mushahwar, Mara Senn and Carol Widger. The interviews are here.

Data, Culture, ESG and Scope Creep with GM's Michael Ortwein

The Anti-Corruption Report spoke with chief compliance officer and assistant general counsel at General Motors, Michael Ortwein, who shared his insights on top-of-mind issues in advance of his participation in ACI's FCPA Conference. 

The full video is here. The associated article is here.

Corporate Compliance and Enforcement Hot Topics With IBM VP Una Dean

The Anti-Corruption Report spoke with IBM's vice president and assistant general counsel of investigations Una Dean, who co-chaired ACI's FCPA conference, about a range of hot compliance topics. 

The video is here

Quick Take on FARA

https://acuris.wistia.com/medias/wmb5vyeq2f

The Anti-Corruption Report discusses the Foreign Agents Registration Act (FARA) in this short video. For our three-part guide to FARA and the new risk environment, see here.

ACR Editor Discusses Using Artificial Intelligence to Support Anti-Corruption Compliance

Senior Editor Megan Zwiebel recently appeared on a podcast with Perkins Coie White Collar & Investigations partners Gina LaMonica and Caryn Trombino, who discussed the use of AI in compliance programs, including trends in AI-based compliance, steps companies can take to utilize AI in their compliance programs, and how regulators view the use of data and AI in compliance programs. Listen to the podcast here.

ACR Q3 Editorial Update

Listen to our Fall Editorial Update for a discussion of recent enforcement actions; enforcement trends and policies; and top-of-mind issues, such as internal investigations and hotlines, all in under 15 minutes. Register here.

ACR and CSLR Spring Update 2020

​​​​The Senior Editors of the Anti-Corruption Report and the Cybersecurity Law Report recently teamed up to present an update on the trends and hot topics in the anti-corruption, cybersecurity and data privacy spaces since the beginning of the year and what the publications will be focusing on in the coming months. A complimentary download of the webinar is available here.

Upcoming Webinar to Explore Best Practices for AML Compliance by Private Fund Managers

Please join our sister product, the Hedge Fund Law Report, on Thursday, May 30, 2019, at 11:00 a.m. EDT, for a complimentary webinar discussing the key components of a robust anti-money laundering program. To register for the webinar, click here.

ACR Webinar: The Art and Science of Transaction Monitoring: A Google Perspective

Transaction monitoring can help a company identify problem areas and assess how well its compliance program is working. Please join the Anti-Corruption Report for a complimentary webinar on May 2, 2019, from 1 p.m. to 2 p.m. EDT, where Senior Editor Megan Zwiebel will interview Google global ethics & compliance senior counsel Therese Lee and forensic program manager Aditya Yerramilli about how Google handles the art and science of transaction monitoring. Registration information is here.

ACR Webinar: Mitigating Risk in Argentina After the Notebooks Scandal

Doing business in a country that is embroiled in a mega-scandal can be treacherous. This is particularly true when the local business community is slow to get on the compliance bandwagon, as has been the case in Argentina while the Notebooks Scandal has been unfolding. Please join the Anti-Corruption Report on April 17, 2019, from 1:00 p.m. to 2:00 p.m. EDT for a complimentary webinar in which Editor-in-Chief Nicole Di Schino will discuss how to mitigate risk in light of the developing scandal with Argentinian attorney Guillermo Jorge, a partner at Bruchou, Fernandez Madero & Lombardi, and Barrick Gold’s Jonathan Drimmer. To register, please click here.