Our Securities Practice Group has effectively assisted numerous public companies and regulated entities when they are required by an enforcement action, deferred prosecution agreement, litigation settlement, or a regulatory or court order to retain an independent compliance consultant or monitor.
We are frequently selected by companies (and approved by their regulators) because of our experience and considerable knowledge of supervisory expectations and industry best practices. As independent compliance consultants and monitors, we have conducted comprehensive, objective reviews of the effectiveness of companies’ corporate governance structures and financial reporting, internal controls, and internal audit functions. We have also conducted extensive reviews of - and provided recommendations for improving - supervisory, compliance, and other policies and procedures designed to prevent and detect breaches of fiduciary duties, conflicts of interest, and violations of codes of conduct and federal securities laws.
Our extensive regulatory and law enforcement experience gives clients and regulators confidence that we will fairly, effectively, and impartially perform the important function of an independent compliance consultant or monitor.