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
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)
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