Government Policies, Press Releases & Guidance

The attorney-client privilege is fundamental to fairness and balance in our justice system and essential to corporate compliance regimes. Without reliable privilege protections, executives and other employees will be discouraged from asking difficult questions or seeking guidance regarding the most sensitive situations. Available on this page are policies, press releases and other guidance from various government agencies relating to the Attorney-Client Privilege and Work-Product Doctrine.  

Department of Justice (DOJ)

Letter from Attorney General Eric Holder to Senate Judiciary Chairman Patrick J. Leahy, June 16, 2009

Press Release: Announcing Revisions to Charging Guidelines for Prosecuting Corporate Fraud, August 28, 2008

Filip Memorandum: Principles of Federal Prosecution of Business Organizations, August 28, 2008

McNulty Memorandum, December 12, 2006
      DOJ Press Release: U.S. Deputy Attorney General Paul J. McNulty Revises Charging Guidelines for Prosecuting Corporate Fraud: New Guidance Further Encourages Corporate Compliance, December 12, 2006

Thompson Memorandum, January 20, 2003

Holder Memorandum, June 16, 1999

Securities and Exchange Commission (SEC)

Press Release: SEC Announces Initiative to Encourage Individuals and Companies to Cooperate and Assist in Investigations, January 13, 2010

Press Conference Remarks: Robert S. Khuzami, Announcing New Cooperation Program, January 13, 2010

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Frameworks for Evaluating Cooperation by Individuals and Companies  

Seaboard Report – Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934 and Commission Statement on the Relationship of Cooperation to Agency Enforcement Decisions, SEC Rel. Nos. 34-44969 and AAER-1470 (Oct. 23, 2001)

Enforcement Manual – See Provision 4.3, Waiver of Privilege

Environmental Protection Agency (EPA)

Audit Policy Guidance: Memorandum on Issuance of “Audit Policy: Frequently Asked Questions” (April 30, 2007)

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Featured Products

Audit Policy: Incentives for Self-Policing: Discovery, Disclosure, Correction and Prevention of Violations, 65 Fed. Reg. 19,618 (April 11, 2000)

Additional Resources: Compliance Incentives & Auditing  

Manhattan District Attorney’s Office

Press Release, District Attorney Vance Announces Policy Regarding the Prosecution of Businesses and Organizations, June 1, 2010

District Attorney of the County of New York Interoffice Memorandum: Considerations in Charging Organizations, May 27, 2010