Evaluating the Effectiveness of Compliance Programs

Ruihua Chen
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Ruihua Chen: Peking University, Law School

Chapter Chapter 6 in An Introduction to Corporate Compliance, 2026, pp 161-210 from Springer

Abstract: Abstract Corporate compliance efforts may be divided into two categories, based on the timing and impetus for establishing a compliance management system: routine compliance management system and crisis-responsive compliance remediation mechanism. The former—referred to as ex ante compliance—denotes a set of preventive measures initiated by an enterprise in the absence of any known legal or regulatory violations, and prior to being subjected to administrative investigations, criminal prosecution, or inquiries by international financial institutions. These efforts are typically driven either by regulatory expectations imposed by administrative agencies or industry associations, or by the enterprise’s strategic objective of enhancing its market competitiveness. In contrast, crisis-responsive compliance remediation—commonly known as ex post compliance—refers to remedial measures undertaken in the wake of corporate misconduct and during the course of administrative enforcement, criminal proceedings, or investigations led by international financial institutions. These efforts are primarily aimed at addressing structural deficiencies and operational vulnerabilities within the existing compliance management system, with the goal of obtaining leniency or other compliance-based incentives.

Date: 2026
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DOI: 10.1007/978-981-95-7257-1_6

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