In 2024, the National Prosecuting Authority (the “NPA”) published the Corporate Alternative Dispute Resolution (“C-ADR”) Directive (the “Directive”). Similar to US Deferred Prosecution Agreements, C-ADRs enable qualifying companies to avoid criminal prosecution by resolving the investigation at the pre-trial stage.

The Directive lists criteria the NPA considers in deciding whether to grant a C-ADR (including disclosure, cooperation, misconduct seriousness and pervasiveness). Criteria 8 pertains to compliance programs, which, if in existence and effective, “will weigh in favour of a Corporate ADR.” However, the Directive, provides no specific guidance on what constitutes an effective compliance program.

Drawing on decades of experience serving as a government-imposed and voluntary compliance consultant, this article shares StoneTurn’s perspective on elements of effective remediation, steps to take to prepare for an independent review, guidelines on testing compliance programs and controls, and tips on assessment and reporting.

Read the article in The Forensic Practitioner or download the PDF here.