CCCP Government Investigation Response 4

Question 1

Under the DOJ's Corporate Enforcement Policy, what is required for a company to receive the maximum cooperation credit?

Accepted Answer

The company must voluntarily disclose, fully cooperate, remediate, and disgorge all profits

Answer

To receive maximum cooperation credit, the DOJ requires voluntary self-disclosure, full cooperation including providing all facts about individuals involved, timely remediation, and disgorgement of profits.

Question 2

What does 'obstruction of justice' in a corporate investigation context most commonly involve?

Accepted Answer

Destroying documents, coaching witnesses, or impeding government access to evidence

Answer

Obstruction of justice typically involves actions like document destruction, witness tampering, or any effort to impede the government's ability to gather evidence in an investigation.

Question 3

When should a company's compliance team involve outside legal counsel during a government investigation?

Accepted Answer

As early as possible, ideally upon receipt of any government inquiry, CID, or subpoena

Answer

Outside counsel should be engaged early—ideally upon first notice of a government inquiry—to ensure privilege protection, provide strategic guidance, and manage communications with regulators.

Question 4

What is a 'civil investigative demand' (CID) and which agency commonly uses it?

Accepted Answer

A pre-litigation discovery tool used by agencies like the DOJ and FTC to compel document production

Answer

A CID is a compulsory pre-suit discovery tool used by agencies such as the DOJ and FTC that requires recipients to produce documents, answer interrogatories, or provide testimony without filing a lawsuit.

Question 5

What is the significance of the 'McNulty Memo' in the context of corporate privilege during investigations?

Accepted Answer

It limited DOJ prosecutors from routinely requesting privilege waivers as a condition of cooperation credit

Answer

The McNulty Memo (2006) and subsequent Filip Memo (2008) restricted prosecutors from routinely demanding privilege waivers, recognizing that such demands threatened the integrity of the attorney-client relationship.

(CCCP) Certified Corporate Compliance Professional Practice Test

(CCCP) Certified Corporate Compliance Professional Practice Test

CCCP Government Investigation Response 4