Who Signs the Truth? The Executive Signature That Really Matters
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Who Signs the Truth? The Executive Signature That Really Matters
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Description: Why has the DOJ started asking Chief Compliance Officers to personally certify corporate resolutions?.
This episode unpacks the "Certification Moment" and what it means for corporate governance.
In this episode, we cover:
• The Enforcement Pivot: How the DOJ moved from checking policies in binders to demanding proof of who actually owns the compliance program.
• The Reality of Independence: Why the DOJ defines independence not by title, but by seniority, resources, and access to decision-makers.
• Litigation vs. Investigation: Why treating internal investigations and litigation as the same discipline is a "red flag" for regulators.
• The Golden Rule: If the Chief Compliance Officer is expected to sign the certification, the Chief Compliance Officer must lead the investigation.
Join Dough and Tracy to understand why structural alignment with these expectations is a strategic advantage, not just a regulatory obligation.