Compliance and Internal Investigations

Compliance and Internal Investigations

Overview

Fortune 500 companies, state and local governments, and non-profit organizations have turned to us to craft and review their compliance programs and independently and discreetly assess sensitive internal and public issues.

Our group includes former government regulators who have assessed compliance programs and corporations’ adherence to them, trustees who have been retained by courts to conduct public investigations, and counsel who have been retained by boards of directors, audit committees and special litigation committees to conduct independent investigations often involving sensitive and far-ranging matters. We efficiently and discreetly direct investigations using our years of experience to determine how far a regulator, board or public opinion will want the trail to go. We understand that a thorough investigation need not be exhaustive or exhausting.

Assessing Your Compliance Program from a Regulators’ Perspective

Our former prosecutors and regulators assessed scores of corporate compliance programs while making enforcement decisions. Evaluating compliance programs — or the lack thereof — from this perspective drives our ability to craft or revise our clients’ compliance plan and procedures so they will be effective and satisfactory to the government.

At the same time, we understand that every contingency and behavior cannot be addressed in a compliance program. We also understand that a company’s business cannot be throttled by internal red tape. We are business-focused and always balance these concerns to create compliance materials that protect the organization while giving employees direction they can understand and realistically follow.

Investigating the Most Sensitive Internal Concerns, Effectively and Discreetly

Whistle-blower complaints have become big business. At the same time, regulators increasingly outsource investigations by identifying an issue and requiring a company to perform an internal investigation. The regulators then use the fruits of that investigation as a springboard to their own.

These complaints and requests put companies in a predicament. The investigation must be performed by independent counsel that has little or no current relationship with the company. As companies are reluctant to impose parameters on this counsel for fear of being accused of interfering with the investigation, there is a risk that these investigations get out of hand.

We know the difference between conducting a thorough and complete investigation on the one hand and turning over every possible stone on the other. We know how to get to the core of the matter quickly and efficiently. We understand that the investigation is secondary to the company’s business and we know how to investigate discreetly and effectively without disrupting an organization’s operations and atmosphere. We always tailor our approach to match the needs of the organization and the allegations, and we deliver effective investigations on time and on budget.