Resolving Compliance & Ethics Disputes

Resolving Compliance & Ethics Disputes Overview

For companies and individuals, responding in a timely and appropriate manner to Compliance & Ethics disputes can be a matter of paramount importance. Kaplan & Walker LLP offers clients considerable experience in addressing these often sensitive and consequential matters.

Addressing Conflicts of Interest

We assist companies in assessing potential conflicts of interest and in developing appropriate responses, including conflicts–management strategies. Conflicts issues arise from a variety of diverse settings, including employment, board service, relationships with clients
(for instance, in banking, law, consulting, advertising or other professional services) and “gatekeeper” or other professional roles. Resolving conflicts of interest can be very difficult for organizations, and the attorneys of Kaplan & Walker LLP have
significant experience in this often complex and thorny area.

Additionally, Rebecca Walker authored the leading legal treatise on compliance and conflicts of interest, titled “Conflicts of Interest in Business and the Professions: Law and Compliance”, and and Jeff Kaplan is the editor of the leading blog on addressing conflicts of interest in business organizations –

Risk Assessment

Both as a matter of law and of common business sense, a Compliance & Ethics program should be based upon a Compliance & Ethics risk assessment. Among other things, a Compliance & Ethics risk assessment should address the likelihood and potential impact of foreseeable illegal or unethical acts. Ideally, it should do so not only on an enterprise–wide basis, but also on a more granular level (such as by geographic or business unit). The process should provide sufficient insight into the cause of such risks to assist the company in determining how best to use the resources of the program to mitigate risks. A risk assessment helps to shape not only the individual elements of the Compliance & Ethics program, but also how the program is managed by the top officials of the company and overseen by the board of directors. Kaplan & Walker LLP’s attorneys have conducted risk assessments for numerous companies, and the published works of its attorneys have helped shape the approach of others to this important and often challenging aspect of establishing or improving a Compliance & Ethics program.

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.