Recently, the U.S. Department of Justice (DoJ) has introduced new requirements in the field of corporate compliance, particularly regarding the use of artificial intelligence (AI). As more and more companies begin to leverage AI technology, this new regulation undoubtedly adds extra pressure to compliance officers. Companies now need to seriously consider the legal risks that AI may bring, otherwise, they may face hefty fines.
Image source note: Image generated by AI, image authorized service provider Midjourney
Nicole Argentieri, the Principal Deputy Assistant Attorney General of the Criminal Division at the Department of Justice, discussed new guidelines for Enterprise Compliance Control Programs (ECCP) during a speech, aimed at helping companies avoid legal issues. The new regulations emphasize that compliance officers must consider the potential impact of AI on the company's compliance capabilities. This means that companies must not only focus on the benefits of AI but also analyze its possible negative consequences.
These new regulations explicitly require compliance officers to ask themselves some key questions, such as: "How does the company assess the impact of new technologies like AI on its ability to comply with laws?" "How to control unintended consequences that may arise from using these technologies?" and "How to reduce the deliberate or reckless misuse of these technologies by internal personnel?" These questions reflect the areas that the Department of Justice will pay special attention to during investigations.
Argentieri pointed out that prosecutors will consider whether companies are susceptible to criminal risks caused by new technologies, such as false approvals and documents. If companies fail to demonstrate effective compliance controls, the consequences could be very severe. Additionally, companies need to actively monitor and test AI applications to ensure their functionality.
In short, if AI technology violates the law, the company will still be held responsible. Therefore, company executives must proactively identify and address these risks before issues arise, ensuring appropriate compliance measures.
It is worth noting that, in addition to the new guidelines on AI compliance, the updates to ECCP also include guidance related to whistleblowers, aimed at encouraging employees to report illegal activities. This series of new regulations reminds companies to consider legal risks while advancing technological innovation.
Key points:
🛡️ New regulations require compliance officers to seriously evaluate the legal risks of AI to avoid fines.
🤖 Companies need to actively monitor and test AI applications to ensure compliance with technology use.
👥 The Department of Justice will strengthen the review of corporate compliance procedures, focusing on whether they effectively prevent criminal risks.
