Agency establishes sentencing policies and practices for US Federal courts

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• Manuals

Thompson Memo

• Memorandum Regarding Principles of Federal Prosecution of Business Organizations
• PDF version  1.20.03

• DOJ policy to consider presence and adequacy of a company's compliance program when deciding whehter to bring criminal charges against a company

Sentencing of Organizations

• US Attorney Manual

SEC Report of Investigation

• Release 34-44969  10.23.01
• SEC will consider the existence of compliance efforts in determining whether and how to charge a company being investigated for securities violations

United States v Booker

• Opinion  1.12.05
• Held that the reasoning in Blakely applies to the US federal sentencing guidelines
• Rendering them unconstitutional in part

Blakely v Washington

• Opinion  6.24.04
• Found state sentencing guidelines to be unconstitutional
• Held any factor that increases a criminal sentence, except prior convictions, must be admitted by the defendant or proved to a jury beyond a reasonable doubt

Criminal Liability