The best attorneys not only solve problems—they prevent them. Perkins Coie draws upon our years of experience and service as former regulators and prosecutors to design compliance programs for companies of all sizes, in various industries, throughout the U.S. and abroad.
Our experienced attorneys regularly work with companies to develop and implement compliance policies and procedures; provide training and seminars for employees and third-party representatives; and assist companies in measuring compliance through regular monitoring and audits. When a potential violation is alleged, our team also has deep experience conducting domestic and international internal investigations and can advise on remedial steps, including whether to self-report the conduct to relevant governmental authorities.
Regulators’ and prosecutors’ decisions to bring civil or criminal enforcement actions, and the severity of a civil penalty or a criminal sentence imposed, can be significantly impacted by the extent and quality of a company’s compliance program. We help companies design and implement programs consistent with the Federal Organizational Sentencing Guidelines’ criteria on what constitutes an effective compliance and ethics program.
In addition, the public’s perception of a company, and the likelihood of private claims and reputational damage, may be influenced by the public’s perception of the adequacy of internal controls. By assisting companies in the development and implementation of effective compliance programs, Perkins Coie aims to reduce the potential for litigation and liability.
Designing Compliance Programs
The first step to a robust compliance program is the implementation of policies, procedures, and internal controls designed to identify and limit risk. We have significant experience advising companies on the development and implementation of policies and procedures such as:
- Codes of conduct
- Corporate governance policies
- Insider trading policies
- Privacy policies and procedures
- Record retention policies and procedures
- FCPA, UK Bribery Act and other anti-corruption policies and procedures
- Corporate Social Responsibility and Conflict Minerals Compliance policies
Compliance policies and procedures are effective only if employees and third-party representatives are informed about them. We regularly work with companies to train employees and third-party representatives regarding compliance policies.
Companies also need to know whether their compliance programs are effective. We work with companies to monitor compliance with company policies and procedures, including conducting audits and internal investigations to evaluate compliance with policies and procedures.
- Appointed by the U.S. Government to serve as FCPA Corporate Monitor of a multinational corporation in connection with deferred prosecution agreements with the DOJ and SEC. Monitor’s mandate was to review and independently verify the suitability of the company’s compliance program, recommend best practices for an anti-corruption program, ensure accurate accounting of books and records, and verify existence of sufficient internal controls to adequately support compliance efforts.
- Six month secondment to legal compliance department of FORTUNE 100 company to implement anti-corruption compliance programs. Drafted anti-corruption manual, created anti-corruption training for in-house lawyers and employees, developed procedures for interacting with government officials, and advised in-house lawyers and employees regarding anti-corruption issues.
- Revised gift and entertainment policies for FORTUNE 100 company, including detailed site-specific policies for gifts and entertainment provided to local government officials and third parties.
- Developed policies, procedures, training materials, handbooks and other materials to ensure compliance with the FCPA and other anti-corruption laws.