Lawyers from our FIG, antitrust, investment management, corporate, and white collar criminal defense and regulatory enforcement groups work together as our integrated Global Compliance Group (GCG). Our GCG works side-by-side with U.S. and international financial institutions to develop effective compliance programs, prepare policies and procedures to control risk, communicate policies, train employees, create monitoring and auditing procedures, investigate potential misconduct, assist clients in responding to regulatory inquiries and examination reports, provide representation in supervisory and law enforcement actions, and devise strategies for remedial action.
We provide advice on a broad range of compliance and enforcement issues, including those associated with anti-corruptions laws (FCPA), economic sanctions (OFAC), anti-money-laundering and anti-terrorist financing laws, including the USA PATRIOT Act, competition laws (including anti-tying), Sarbanes-Oxley, restrictions on complex structured finance products, issues affecting financial holding company or regulatory "penalty box" status, codes of conduct and business ethics policies, internal investigations, white collar criminal defense, corporate governance and insider trading laws.
Many of our current and former lawyers have held prominent positions with the relevant law enforcement agencies and financial regulators, including:
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