105: Compliance Oversight for Boards and Management


Compliance Lawyer


Gabriel L. Imperato, Managing Partner, Nelson Mullins Broad and Cassel

  • United States Sentencing Commission-Federal Sentencing Guidelines for Organizations-essential elements of an effective compliance plan and Board oversight.
  • United States Depatment of Justice Principles of Federal Prosecution of Business Organizations; Evaluation of Corporate Compliance Programs.
  • Reporting systems capable of keeping board members informed of compliance activities and ability to evaluate and response to specific misconduct and noncompliant activity.

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