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Reflections on the Yates Memo

Publisher: Ethical Boardroom
October 5, 2015
Day Pitney Author(s) Robert M. Appleton

Bob Appleton co-authored an article, “Reflections on the Yates Memo,” for Ethical Boardroom, a highly regarded UK publication whose audience is primarily boards of directors of multi-national companies. The article analyzes two of the most important newer aspects of the Department of Justice’s enforcement policy, called the Yates Memo, which clarifies enhanced focus on holding corporate executives accountable for corporate wrongdoing in both criminal and civil cases. Appleton discusses the consequences of the fact that prosecutors can no longer recommend that the company receive any credit in the form of reduced penalties for cooperation unless the corporation turns over all information on personnel in the company, and second, that prosecutors are required to prosecute all individual employees where there is sufficient evidence to do so. Appleton and his co-author discuss the potential real life consequences that this policy may have on corporations and their employees who find themselves subject to DOJ investigations going forward.


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