Overview of Our Internal Investigations and Corporate Compliance Practice
Compliance is of the utmost importance in helping organizations manage their legal and regulatory obligations. In the current enforcement climate, it has become increasingly common for organizations and executives to be targeted in criminal or civil regulatory investigations stemming from a company’s failure to have a strong compliance program in place. Compliance requires a proactive approach. It’s much easier to identify potential problems and protect against non-compliance issues before they happen than it is to defend against them. An effective compliance and ethics program can promote a culture of compliance within a company, which is critical to ensuring adherence to a company’s regulatory obligations. Through proper implementation of an effective compliance program, a company can eliminate or minimize exposure in the event of a regulatory enforcement action.
Glade Voogt Lopez Smith has a long history of developing robust compliance programs for its corporate clients that helps protect the company from running afoul of regulatory or employment law requirements. Our corporate compliance attorneys assist business clients, both individuals and organizations, with protection and defense from the risk of civil, criminal and regulatory violations, including:
- Anti-human trafficking
- Anti-money laundering
- Bribery & corruption, including the Foreign Corrupt Practices Act (“FCPA”)
- Import & export laws and regulations (trade compliance)
- Information security & Privacy
We represent businesses of all sizes, both domestic and foreign, including Fortune 500 companies, and their directors and executives. Our corporate compliance practice group attorneys design and implement the appropriate internal controls, policies, and procedures expected by governmental enforcement agencies, shareholders and third parties, helping to mitigate liability. Additionally, if a regulator ever knocks on our client’s door, we are there to defend the company in administrative, civil, and criminal proceedings. While we are based in Denver, CO, we have a proven record of helping clients throughout the United States and internationally.
Our diverse roster of attorneys include former U.S. Department of Justice prosecutors and in-house counsel. Their particular areas of expertise include:
- Employment law
- Human trafficking
- International trade compliance
- Money laundering
We help our business clients conduct risk assessments and compliance reviews. We design and conduct regulatory and workplace compliance training. We draft policies and codes of conduct. We develop and implement compliance processes. With every business, no matter the size, we can conduct an objective analysis of a company’s compliance efforts. We then recommend specific measures and remedial actions that should be taken for protection, including pre-certification assessments for ISO 37001.
Our experience as former prosecutors and in-house counsels allows us to take on complex corporate investigations. Our attorneys advise audit committees, boards of directors, and in-house counsel on compliance and liability issues. We also have advised not-for-profit organizations on compliance issues. In addition, we manage global anti-corruption (FCPA) and anti-human trafficking due diligence investigations through an affiliated investigative firm, Grounded Compliance Investigations, LLC.
When a company or organization is confronted by an allegation of wrongdoing, immediate action is required. Whatever the issue, a company’s response to such an allegation will be viewed with scrutiny by federal or state regulators, prosecutors, or shareholders. We have vast experience conducting sensitive internal investigations of potential wrongdoing of the following:
- Accounting irregularities
- Breach of fiduciary duty
- Corruption (including violations of the FCPA)
- Data breaches
- Fraud (including health care fraud)
- Insider trading
- Money laundering
- Theft of trade secrets
In addition to conducting internal investigations, we also defend and represent companies and their executives before regulators and in litigation, including in class action matters.
Our Internal Investigations and Corporate Compliance Practice Attorneys
- Frank Lopez, Practice Leader
- David Aschkinasi
- Asher M.B. Ritmiller
- Edward L. Shepyer