The Aba Compliance Officer's Deskbook

by Boutros , Andrew S.; Funk , T. Markus; O'Reilly, James T.

• ISBN13: 9781634256490
• ISBN10: 1634256492
• Edition: 1st
• Format: Paperback
• Copyright: 2018-03-07
• Publisher: American Bar Association

Summary

The ABA Compliance Officer Desk Book is a user-friendly, practical, and real-world focused desk book written for today's compliance professional. Whether working in a big or small, private or public, established or rapidly growing organization, the Book's aim is to empower compliance professionals to better understand the regulatory and enforcement landscapes in which they operate. The Book issue spots compliance pitfalls and challenges across industries, subject matters, and corporate infrastructures and recommends practical solutions today's most high-profile, hot-button compliance topics. In doing so, the Book covers the waterfront of topics such as:

• The Role of the Compliance Professional in today's Organization;
• Labor Exploitation and CSR;
• The Foreign Corrupt Practices Act (“FCPA”) and U.S. Travel Act;
• Dodd-Frank and Sarbanes-Oxley Financial Regulation;
• Health Care;
• Pharmaceutical, Medical, and Food Products;
• Product Safety;
• Environmental Regulation;
• Government Contracts;
• Nonprofit Entities; and
• Privacy and Data Security;
• Preserving Legal Privilege;
• Addressing Law Enforcement Activities;
• Immunity Issues in Corporate Compliance;
• Crimes of False Certification;
• International Transactions Compliance: OFAC Sanctions;
• The Corporate Whistleblower;
• Corporate Voluntary Disclosures;
• Department of Justice Pilot Program for Cooperation;
• Deferred Prosecution Agreements, Non-Prosecution Agreements, and Corporate Integrity Agreements; and
• Structuring Compliance Programs to Meet and Exceed Statutory Obligations. .

Whether a new or seasoned compliance professional, in-house lawyer, outside counsel, regulator, or member of management, The ABA Compliance Officer Desk Book covers key compliance concepts in a manner that is both thorough and easily-digestible.

Author Biography

Andrew S. Boutros is the National Co-Chair of Seyfarth Shaw LLP's White Collar, Internal Investigations, and False Claims Team. He is an accomplished trial attorney and litigator, Foreign Corrupt Practices Act (FCPA) pioneer, Lecturer in Law at the University of Chicago Law School, and former law clerk on the Sixth Circuit Court of Appeals. Andrew is active with the American Bar Association, including being a voting Member of the ABA Criminal Justice Section Council and Co-Founder and National Co-Chair of the ABA's Global Anti-Corruption Committee. A former federal financial fraud prosecutor, Andrew successfully prosecuted a variety of high-profile cases, including what are regarded as the nation's largest criminal customs, trade, and antidumping duty fraud cases, which Bloomberg Businessweek also described as “the largest food fraud in U.S. history.” In addition to being a Member of the American Law Institute, Andrew is the recipient of the ABA's Norm Maleng Minister of Justice Award and the Federal Law Enforcement Officers Association (FLEOA) National Prosecutorial Award.


T. Markus Funk is the Firmwide Chair of Perkins Coie's White Collar & Investigations Practice. Prior to joining the firm, Markus served as a federal prosecutor in Chicago, Section Chief with the State Department-Balkans, clerk with the federal appellate and district courts, and law professor at Oxford University and the University of Chicago. He also founded his firm's supply chain practice and the ABA's Global Anti-Corruption Committee. Markus, a Member of the American Law Institute, uniquely received both the Department of Justice's Attorney General's Award for Nation's top trial performance and the State Department's Superior Honor Award for service to the country. During his time in public service, Markus and his team prosecuted "Operation Family Secrets," which National Public Radio lauded as "one of the most important criminal investigations . . . in American history."

Compliance was “Job One” for Procter & Gamble's former Associate General Counsel for Product Safety, now Professor James T. O'Reilly. He handled large national compliance crises, planned systems for compliance, and taught about compliance issues inside his company and beyond. “The experts have written . . .” is how the U.S. Supreme Court referred to his FDA text in March 2000, and, since retiring from daily compliance efforts in 1998, he has consulted widely, lectured internationally, and helped to educate the next generation of compliance professionals.

Table of Contents

1. The Distinctive World of the Compliance Officer 1

2. Preparing for the Compliance Role 3

3. Compliance Builds Bridges Inside the Corporation 5

4. Compliance and Labor/Anti-Trafficking Issues 9

5. The Foreign Corrupt Practices Act and U.S. Travel Act 25

6. Dodd-Frank and Sarbanes-Oxley Financial Regulation 39

7. Health Care 53

8. Pharmaceutical, Medical, and Food Products Compliance 69

9. Product Safety and Liability 76

10. Environmental Requirements 90

11. Government Contracts 97

12. Nonprofit Entities 112

13. Privacy and Data Security 114

14. Preserving Legal Privilege 124

15. Law Enforcement Activities 127

16. Immunity Issues in Corporate Compliance 144

17. Crimes of False Certification 152

18. International Transactions Compliance: OFAC Sanction 162

19. Structuring Compliance Programs to Meet and Exceed Statutory Obligations 165

20. Developing a CSR Supply Chain Compliance Program 171

21. The Corporate Whistleblower 184

22. Corporate Voluntary Disclosures 197

23. Department of Justice Pilot Program for Cooperation 213

24. Deferred Prosecution Agreements, Nonprosecution Agreements, and Corporate Integrity Agreements 217

25. Company Cooperation and U.S. Sentencing Guidelines 230 Index 235