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ARTICLE · 03 JUNE 2004

Corporate Compliance and Ethics Programs: A New Generation

Holland & Knight LLP
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On April 30, 2004, the U.S. Sentencing Commission (the Commission) sent to Congress its proposed changes to the Sentencing Guidelines for Organizations (the Amendments) which establish the framework for compliance and ethics programs. The Amendments expand and clarify the requirements for an "effective" compliance and ethics program. These changes will require entities to evaluate whether their existing compliance and ethics programs meet the new criteria and to make appropriate modi

United StatesEmployment and HR
Lisa Kuca
Lisa Kuca

Originally published May 14, 2004

U.S. Sentencing Commission Expands the Requirements for Effective Programs

On April 30, 2004, the U.S. Sentencing Commission (the Commission) sent to Congress its proposed changes to the Sentencing Guidelines for Organizations (the Amendments) which establish the framework for compliance and ethics programs. The Amendments expand and clarify the requirements for an "effective" compliance and ethics program. These changes will require entities to evaluate whether their existing compliance and ethics programs meet the new criteria and to make appropriate modifications if they don’t. The Amendments are likely to lead to a new generation of compliance and ethics programs. Even the name, "Compliance Program," used in the former guidance has been changed to reflect the new requirements. Programs are now to be evaluated as "Compliance and Ethics Programs."

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