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Due to the increased vigilance of regulators in enforcing statutes, and enhanced financial incentives to whistleblowers, corporations must be proactive in ensuring compliance with applicable statutes and regulations. Accordingly, we regularly conduct internal investigations worldwide for companies in the financial, technology, energy, insurance, and retail industries before regulatory inquiries start in order to proactively contain and resolve issues. 

We counsel boards of directors, audit committees and special committees through challenging situations in order to reduce or minimize the government's role in the matters at hand. These matters include corporate governance practices and procedures, directors' duties and responsibilities, compliance with Securities and Exchange Commission (SEC) and financial exchange regulations, corporate codes of conduct and the Foreign Corrupt Practices Act (FCPA).

Our experience representing public and private corporations and our sensitivity to the concerns of enforcement authorities – having served in DOJ and SEC supervisory positions ourselves –  enable us to guide some of the world's largest companies through complex matters and to fully address and satisfy the concerns of the authority involved.  Some recent examples of our experience in this area include:

  • Internal investigation and representation of a Fortune 500 corporation and various officers in DOJ and SEC "options backdating" investigations.
  • Independent internal investigation of a large public company into allegations of corporate malfeasance by the chief executive officer and global head of procurement.
  • Internal investigation and representation of a hedge fund in connection with the New York State Attorney General's "pay-to-play" investigations.
  • Conducted internal investigations for insurance companies, including their audit committees, in response to regulatory inquiries and whistleblower allegations.
  • Internal investigations at two large banks involving employee theft and embezzlement; results in both cases were turned over to federal prosecutors who subsequently brought criminal charges against employees involved.
  • Multiple internal investigations for large public companies concerning potential violations of the Foreign Corrupt Practices Act.
  • Internal investigation on behalf of audit committees examining vendor kickbacks and other alleged malfeasance.
  • Internal investigation and representation of a corporation in connection with multiple state pension fund investigations.
  • Internal investigation and representation of a multinational corporation in a criminal tax investigation involving the synthetic fuel industry, leading to closure of the investigation.