This advanced, practice-focused seminar examines how corporations resolve enforcement actions through Deferred Prosecution Agreements (DPAs), Non-Prosecution Agreements (NPAs), and compliance monitorships. These mechanisms—frequently used by the U.S. Department of Justice and the U.S. Securities and Exchange Commission—allow companies to avoid criminal convictions while imposing significant compliance, reporting, and oversight obligations.
The course focuses on how lawyers negotiate these agreements, manage relationships with regulators, and guide corporations through the demanding post-settlement phase. Students will analyze the structure of DPAs, the role of independent compliance monitors, and the operational challenges of implementing remedial measures under intense scrutiny.
The seminar treats DPAs and monitorships as high-stakes corporate survival tools, where legal strategy, compliance execution, and reputational management must align to avoid catastrophic consequences.
This course assumes prior study of corporate compliance, white-collar crime, or regulatory law.
Course Objectives
By the end of the course, students should be able to:
1. Understand the structure and purpose of DPAs and NPAs.
2. Analyze how enforcement actions are resolved through negotiated agreements.
3. Evaluate the role and authority of compliance monitors.
4. Assess risks and benefits of entering into DPAs.
5. Develop negotiation strategies with regulators.
6. Design compliance remediation plans.
7. Manage post-settlement obligations and oversight.
8. Advise corporations under enforcement pressure.
9. Identify common pitfalls in monitorships.
10. Apply practical strategies to real-world enforcement scenarios.
