We are a unique law firm and the philosophy behind our work reflects that. We recognize that compliance/ethics programs must be practical from a business perspective and credible from external standpoint, and we are particularly adept at helping clients achieve this important fit. We’re not big on legalese, but we are big on the governance frameworks, management systems and controls that promote high-integrity cultures. We also recognize that the effectiveness of these systems hinges on their ability to reach and motivate the “hearts and minds” of people across all levels of an organization – and reaching results at that level requires more than a sharp pencil a willingness to check a box.
Our Core Areas of Expertise
We offer a broad range of services that center around the design, implementation and evaluation of compliance/ethics programs. Clients turn to us for assistance in a variety of situations, especially when the level of scrutiny is high and the room for error is low. Examples of when you may wish to consider contacting us include when:
- Your company experiences a problem and you want to make demonstrable improvements to your compliance/ethics program going forward.
- Your company has entered into a government settlement agreement and requires an independent or periodic internal assessment of your compliance/ethics program.
- Your industry is under scrutiny and you need to ensure your compliance/ethics program is poised to meet rising expectations.
- Elements of your compliance/ethics program are the subject of dispute and you require expert witness testimony or advice.
- Your directors and officers want to demonstrate fulfillment of their fiduciary/oversight duties by having the compliance/ethics program evaluated for effectiveness by an independent third party.
- You need to perform a compliance/ethics risk assessment so that you can tailor and prioritize compliance activities across various business segments, functions or geographies.
- You need to expand the international reach of your compliance/ethics program in a way that meets external requirements as well as the unique needs, customs and practices of local operations.
- Your company needs to adopt more formalized governance mechanisms and compliance program elements in anticipation of an initial public offering.
- Your team needs to assess the compliance issues, risks and implications when performing due diligence on acquisition targets, business partners or suppliers.
- You need to provide training for your board of directors on the current enforcement environment, recent cases, evolving expectations and leading practices.
- Your internal personnel would benefit from greater resources, efficiency, objectivity or expertise in undertaking certain compliance/ethics program efforts.
We also provide targeted assistance and advice on specific program elements, such as:
- Compliance Risk Assessment
- Compliance Oversight, Infrastructure and Governance
- Codes of Conduct, Standards and Procedures
- Employee and Third-Party Due Diligence
- Communication and Training
- Auditing and Monitoring
- Hotline and Upward Reporting Mechanisms
- Internal Investigation Protocols
- Discipline and Incentives
- Continuous Improvement