Compliance & Ethics Disputes

Monitorships and Related Services

Increasingly, the government imposes monitorships and similar conditions in connection with settling cases against corporations. The Firm has been:

    • Appointed a monitor in a corporate criminal tax case brought by the New York Country District Attorney.
    • Named, in settlements with the Department of Justice and Securities and Exchange Commission, to review and report on a company’s anti-corruption compliance program.
    • Selected, pursuant to a settlement with a state attorney general, to review and report on a company’s Compliance & Ethics program.
    • Appointed to serve as a monitor pursuant to an administrative agreement between a company and the U.S. Department of the Air Force.
    • Selected, pursuant to a settlement with the Department of the Air Force, to assess a company’s Compliance & Ethics program

Approved to serve as an independent consultant to review companies’ Compliance & Ethics programs in the settlement of two unrelated enforcement actions brought by the World Bank.

The Firm has also been engaged to assist an organization in responding to Compliance & Ethics program related recommendations made by a monitor.