SEC and Regulatory Enforcement Defense Assistance - Assist counsel and company personnel in responding to inquiries and investigations from the SEC, DOJ and other regulatory enforcement entities. Provide investigative and accounting guidance and expertise to navigate regulatory challenges, ensuring compliance with SEC regulations and other industry-specific requirements. Assist counsel with witness testimony preparation. Review and comment on Wells submission.
Internal Investigation Support -Assist counsel and company personnel in conducting thorough internal investigations to address concerns of misconduct or fraud within their organizations. Collaborate with counsel and company personnel to design investigation plans and methodologies tailored to the specific concerns. Collect and analyze evidence, interview relevant individuals, and document findings and report to relevant stakeholders. Assist in identifying root causes of issues and recommend corrective actions to prevent recurrence.
Anti-Bribery and Corruption/FCPA Consulting - Work with counsel and company personnel to prevent and manage bribery, corruption, and compliance issues, including guidance on the Foreign Corrupt Practices Act (FCPA). Conduct risk assessments and investigations to identify vulnerabilities to bribery and corruption risks. Develop and implement anti-bribery and corruption policies, procedures, and training programs. Provide guidance on FCPA compliance, including due diligence on third-party partners and on company acquisition candidates.
Profit Disgorgement Analysis - Work with counsel and company personnel in calculating and assessing a profit disgorgement analysis in connection with settlements with government regulatory entities. Assist in developing a flexible disgorgement model using supportable assumptions and present to government entities as needed.
Interim Executive Services
Interim Compliance Officer - Serve as a temporary compliance officer to help organizations maintain regulatory adherence during transitions or absence of a permanent officer. Oversee compliance programs, monitor adherence to regulations, and provide regular reports to management. Train and educate employees on compliance standards and ethical conduct.
Interim Internal Audit Resource - Fill in as a temporary internal auditor to ensure ongoing oversight and risk assessment when regular resources are unavailable. Evaluate internal controls and risk management processes to ensure accuracy and reliability of financial reporting. Perform audits of key business areas to identify weaknesses, inefficiencies, or potential fraud. Deliver comprehensive audit reports with recommendations for improvement.
Interim CFO/Project Manager - Assist companies when they are faced with government agency scrutiny and require additional specialized resources to navigate the investigation process more effectively. Provide stability and business continuity when a company faces unexpected turnover and leadership gaps. Work with company management and boards to interface with external stakeholders and to regain timely financial reporting requirements, as needed.
Financial Reporting Restatement Assistance
Aid in the process of restating financial reports accurately and transparently, helping clients address errors or inaccuracies. Review financial statements and identify discrepancies requiring restatement. Collaborate with accounting teams to correct errors, reconcile financial data, and ensure accurate restatements. Assist in communicating revised financial information to stakeholders, auditors and regulatory bodies.
Monitorship Support/Independent Consultant
Provide guidance and oversight to an independent monitor to ensure compliance with legal settlements or regulatory requirements. Provide regular progress reports to authorities and stakeholders on compliance efforts. Offer guidance on implementing necessary changes and improvements based on monitoring outcomes.
Serve as an independent compliance consultant to assist companies in anticipation of implementation of a monitor as part of a government settlement. Identify and evaluate issues and controls requiring remediation and corrective action.
Business Development/Networking Coaching
We can provide one-on-one coaching, group presentations and training seminars on ways to improve business development and networking activities to service professionals.