Solutions - Compliance Effectiveness

Effective Compliance and Ethics Programs

The United States Sentencing Commission voted on April 7, 2010 to modify the Federal Sentencing Guidelines for organizations, including the provisions that set forth the attributes of effective compliance and ethics programs.  These amendments went into effect on November 1, 2010. 

Under the Federal Sentencing Guidelines, a convicted organization may be eligible for a reduced sentence if it has established an effective compliance and ethics program.  The Guidelines describe the key attributes that a compliance program must exhibit for the organization to be eligible to receive benefits such as reduced fines, reduced sentences or deferred prosecution. 

Beyond the potential benefits related to prosecution and conviction, the key attributes of effective compliance programs have become widely used as a guideline by organizations seeking to proactively establish effective compliance and ethics programs.  Satisfying the requirements for an effective compliance and ethics program is now widely believed to create a number of additional benefits including protection of the corporate brand by reducing the likelihood of bad events taking place and having the ability to minimize the consequences should bad events occur.

For resources, insight, and tools to help your organization demonstrate the effectiveness of your compliance program, please visit our Compliance Effectiveness Resource Center.

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