Compliance & Ethics Disputes

Overview

Program Assessment

Risk Assessment

Monitorships and Related Services

Compliance and Ethics Program Structure

Board Oversight

Codes and Policies

Training and Communications

Reporting, Investigation and Response

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.