Uniform Commercial Code Transaction Guide: Analysis and Forms, 2023 ed.

Compliance Programs and the Corporate Sentencing Guidelines is a step-by-step guide examining compliance programs under the sentencing guidelines and suggests how to prevent and detect violations of law.

It covers the standards and procedures necessary to:

• Prevent and detect violations
• Train employees
• Delegate authority
• Handle internal whistle-blowing and disciplinary measures
• Establish a compliance officer position
• Ensure appropriate oversight by directors

In addition, this publication considers the expanded use of criminal law against businesses and the imposition of harsher penalties under the organizational sentencing guidelines.

Including:

• Threshold considerations
• Liability inventory
• Codes of conduct
• Board oversight
• Auditing and monitoring systems
• Protecting whistleblowers from retaliation
• Employee discipline
• Investigating and disclosing violations 

This publication also:

• Helps you advise clients about sentencing guidelines relative to base fines, culpability points, restitution, and probation
• Gives advice on helping clients set up policies and procedures that have proven capable of reducing corporate wrongdoing
• Provides guidance on how to help clients create crisis management teams
• Suggests ways to resolve compliance program deficiencies