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Compliance & Regulatory Counseling

Today’s complex regulatory and enforcement environment requires dynamic and proactive efforts to design and implement an effective global compliance program. Whether focused on anti-corruption, trade and economic sanctions, cybersecurity, ESG, or other regulatory issues, our market-leading compliance practice includes a team of lawyers who specialize in the design, enhancement, and testing of effective compliance programs and related internal controls.

Our experience advising clients under investigation and supporting post-resolution monitorships and self-reporting is unmatched, and we bring this depth of knowledge regarding regulator expectations and compliance best practices to all matters.

  • Compliance Practice Group of the Year

    Law360, 2020, 2022, and 2023
  • Ranked Band 1 for Nationwide FCPA and Corporate Crime & Investigations

    Chambers USA 2024
  • Ranked Band 1 for International Trade: Export controls

    Chambers USA 2024
  • Leading Firm for Data Protection and Privacy

    Legal 500 U.S.
  • Ranked first in total FCPA settlements since 2008 and FCPA Monitorships Since 2004

    Global Investigations Review 2024

We regularly counsel clients of all types across a wide range of geographies to navigate complex compliance issues and help them develop strategies to mitigate risk, and for our clients engaging in international deals, support both pre- and post-close global due diligence and integration efforts. We work in all types of industries, including:

  • Aerospace & Defense

  • Agriculture

  • Construction

  • Education

  • Financial Services

  • Food and Beverage

  • Hospitality

  • Insurance

  • Life Sciences and Healthcare

  • Manufacturing

  • Oil & Gas, Mining, and Energy

  • Retail

  • Technology, Media, and Telecommunications

  • Transportation

Client Successes

Independent Compliance Monitorships
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  • KVK Tech, Life Sciences/FDCA, DOJ

  • Panasonic Avionics Corporation, FCPA, DOJ

  • Asian Company Debarred for Integrity Violations, World Bank and Asian Development Bank

  • Universal Corporation, FCPA, DOJ and SEC

  • Monsanto Company and Delta & Pineland Company, FCPA, DOJ and SEC

  • Selected by the UN to act as Independent Ethics and Compliance Expert for multiple companies

Exemplar Buffer / Compliance Counsel and Self-Reporting Matters
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  • ABB Ltd. – Assisted ABB in the review, enhancement, and testing of its global anti‑corruption compliance program while representing the Company in obtaining a coordinated global resolution in South Africa, Germany, Switzerland, and the United States. We continue to advise ABB regarding ongoing compliance efforts and represent the company in its ongoing self-reporting obligations to DOJ and SEC.

  • Airbus – After serving as lead U.S. counsel in a worldwide (26 countries) investigation, successfully counseled the Company through its three-year post-resolution self-reporting period to DOJ on both anti-corruption and export controls compliance matters.

  • Braskem S.A. – After representing the Brazilian petrochemical company in the history‑making resolution of its DOJ and SEC FCPA investigation, we assisted Braskem in the construction of its anti-corruption program and guided Braskem through its FCPA monitorship.

  • Embraer S.A. – Successfully represented Embraer during its FCPA monitorship before DOJ and the SEC, including assisting in program design and testing.

  • GlaxoSmithKline – Represented GSK through its self-monitorship process, including enhancement of the company’s anti-corruption compliance program and responding to requests and recommendations from the DOJ and SEC.

  • KBR – Represented KBR through its monitorship process, including enhancement of the company’s anti-corruption compliance program and responding to requests and recommendations from DOJ and SEC.

  • SAP SE – Advising SAP, one of the world’s largest software companies, in evaluating and enhancing the company’s global compliance program in relation to its recent investigation and resolution before DOJ and SEC.

  • SQM – Advised Chilean-based chemical and mining company regarding its independent monitorship following its FCPA settlements. Conducted a global anti-corruption risk assessment and supported the company in implementation and testing of the related program enhancements.

  • TechnipFMC plc – After representing TechnipFMC to resolve charges brought by the U.S. and Brazil, successfully counseled the Company through its three-year post-resolution self‑reporting period to DOJ and SEC.

Exemplar Compliance Matters
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  • Baidu – Advised the Company on compliance with export controls and sanctions in connection with its U.S.-based R&D and product development operations, including product classification and development and documentation of an export controls compliance program.

  • Vogogo – Advised the Canadian payment processing technology company on the development of web-based Bank Secrecy Act/Anti-Money Laundering/OFAC/Know Your Customer compliance and risk management programs for U.S., Canadian, and U.K. financial institutions in facilitating traditional and virtual currency-based payments.

  • World Bank Group – Selected by the World Bank to assist with the development of their Voluntary Disclosure Program.

  • Fortune 50 Social Media Company – Assisting in developing human rights program and human rights governance model, reviewing and advising on human rights impact assessments, advising on potential legal and litigation risks related to human rights, and assisting with OECD National Contact Point Representation.

  • Major Global Consumer Products Company – Representing global company in developing and implementing human rights strategy, overseeing audits, assisting in legal settlement with local groups, and advising regarding forced labor import bans.

  • Major Global Pharmaceutical Company – Providing advice regarding supply chain due diligence in China and Xinjiang, assisting in providing training, briefing the board of directors on human rights legal developments, and providing advice regarding Tariff Act of 1930.

  • Major Healthcare Company – Represented a major healthcare company as compliance counsel in conjunction with its global anti-corruption compliance program, including a comprehensive and detailed risk assessment of the company’s global operations and development of detailed enhancements to its compliance program tailored to its unique risks.

  • U.S. Online Marketplace and Technology Company – Advised a U.S. technology company in connection with its development of a comprehensive anti-corruption and sanctions and export controls compliance program as part of the company’s first initiative into building a compliance program and risk-mitigation framework following the diversification of its overseas supplier base.

  • U.S. Publicly-Traded Oilfield Service Company – Represented a major US publicly traded oilfield service company in connection with its merger with another major international oilfield service company, including preliminary diligence requests, negotiations with merger partner on how to handle FCPA/anti-corruption risks (including a voluntary disclosure decision), advice on transaction structuring, post-close compliance integration, and follow‑on investigations.

  • U.S. Technology Company – Conducted a global risk assessment of a newly-acquired U.S. technology company operating in over 30 countries, resulting in recommendations of compliance improvements for the acquired company and enhancements of the M&A anti‑corruption process for the purchaser.

  • Multinational Corporations and Sovereigns – Advised multinational corporations and sovereigns on anti-corruption compliance, risk management, and enforcement issues in connection with cross-border transactions and the resolution of complex international treaty and commercial disputes.


Areas of Focus

Proactive Program Design, Enhancement, and Support
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  • Design and support implementation of compliance programs and related controls to align with regulator guidelines and accepted best practices

  • Conduct risk assessments and program reviews

  • Prepare codes of conduct and policies and procedures addressing key risks

  • Design and support implementation of third-party management programs and conduct high-risk due diligence

  • Advise on the development of training and communications programs and prepare and conduct targeted training

  • Provide ongoing advice and guidance to address emergent compliance issues and conduct industry benchmarking

Compliance Counseling During Investigations
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  • Identify root causes of violations with focus on compliance program and internal control gaps or failures

  • Design and support implementation of enhancements to compliance program and related controls to remediate deficiencies

  • Present to auditors, board committees, and regulators regarding remediation of root causes and overall compliance program to facilitate best possible resolution

Compliance Counseling in Cross-Border Transactions and Disputes
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  • Conduct risk assessments and provide pre- and post-transaction advice on compliance matters spanning national laws and international law, including anti-corruption treaties

  • Advise on compliance implications for dispute avoidance and resolution as to cross-border matters subject to potential international treaty and/or commercial arbitration

  • Address compliance-related claims and/or defenses under national laws and international law in complex international treaty and commercial arbitrations

Design of Monitoring and Testing Programs
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  • Develop targeted risk assessment programs and identification of other key internal and external data to facilitate continuous enhancement processes

  • Develop monitoring procedures and processes to identify red flags, outliers, and trends for transactions that present heightened compliance risks

  • Develop post-engagement monitoring programs for suppliers, intermediaries, sales channels, and other high-risk third parties to detect red flags, prevent potential misconduct, and ensure compliance with applicable policies and internal controls

  • Review and analyze company data sources to identify available metrics to incorporate into dashboards and monitoring tools

  • Advise compliance and technical personnel on design and use of data analytics for monitoring, testing, and continuous program enhancement

  • Develop internal audit modules to test implementation of compliance programs

  • Advise internal controls personnel on risks and considerations for internal control design and testing

Transactional Due Diligence and Integration
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  • Conduct pre-IPO, M&A, and other transactional due diligence, identify issues, and assess legal risks that can impact valuation, deal structure, or lending decisions

  • Advise on mitigation strategies, including indemnities, disclosure to regulators, and termination

  • Plan for effective post-close priorities and integration

  • Conduct post-close assessment of newly acquired entity’s operations and internal controls

  • Design and support implementation of compliance program and related internal controls

Our compliance experts have extensive cross-border experience in multiple risk and exposure areas, including:

  • Anti-Corruption, including U.S. Foreign Corrupt Practices Act and UK Bribery Act

  • Anti-Money Laundering and Bank Secrecy Act

  • Antitrust

  • Corporate Culture

  • CFIUS

  • Data Privacy

  • Disclosure Controls and Procedures

  • Economic and Trade Sanctions

  • ESG, CSR, and Business and Human Rights

  • Export Controls, Technology Transfers, and Licensing

  • Independent Compliance Monitorships and Compliance Consultants

  • Modern Slavery and Supply Chains

  • Sarbanes-Oxley and Dodd-Frank Whistleblower Complaints

  • SEC Regulations and Examinations

  • UK Failure to Prevent Fraud and Facilitation of Tax Evasion

  • Whistleblower Complaints

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