White Collar and Regulatory Enforcement

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White Collar and Regulatory Enforcement

White Collar and Regulatory Enforcement

Our White Collar and Regulatory Enforcement practice is a leader in the representation of corporations, boards of directors, management and other individuals in connection with a broad range of government investigations, enforcement actions, internal investigations, and white collar criminal investigations and litigation. Our attorneys have deep experience in handling a broad range of civil and criminal proceedings and include former prosecutors and nationally-recognized lawyers.

Our lawyers aggressively defend corporations, directors, officers and employees against allegations in various business contexts and at every stage of the enforcement process, including federal and state grand jury investigations, trials and appeals. We handle investigations and civil and administrative proceedings brought by regulatory bodies such as the U.S. Securities and Exchange Commission (SEC), Department of Justice (DOJ), Federal Trade Commission (FTC), Financial Industry Regulatory Authority (FINRA) and state law enforcement agencies throughout the United States.

Our team has a long and successful track record of representing clients on the full spectrum of white collar and government enforcement matters.

Areas of Focus:

Securities Enforcement

Our lawyers represent clients in all aspects of SEC and other regulatory investigations. We have been successful in deterring the SEC at various stages of enforcement investigations, including the initial inquiry stage, the formal investigation stage and the Wells process stage. Our group has often persuaded the SEC either not to take any action against our clients or to reduce the nature and scope of the charges, including the elimination of fraud-based charges. We have represented the financial services firms, broker dealers, investment advisors, hedge funds, public companies, accounting firms, underwriters, audit committees and officers, directors and senior management in investigations and enforcement proceedings brought by the SEC, the Financial Industry Regulatory Authority, the Public Company Accounting Oversight Board, stock exchanges and other self-regulatory organizations, as well as various state securities enforcement agencies.

Internal Investigations

As one of the nation’s leading corporate and securities firms, Andrews Kurth Kenyon has a record of providing invaluable counsel to companies facing government inquiries. This experience includes launching internal investigations and self-reporting initiatives that can help clients prepare for or preclude formal, punitive actions by regulatory authorities. Our work has involved a broad range of issues, such as claims of financial fraud and negligence; shareholder derivative litigation; earnings restatements and revenue recognition; executive compensation and related transactions; and possible violations of the Foreign Corrupt Practices Act (FCPA).

Whistleblower Claims

Companies are increasingly facing government investigations and claims stemming from allegations by current or former employees and other “whistleblowers.” There are numerous bounty programs where whistleblowers can share in recoveries from government enforcement proceedings, including those run by the SEC, CFTC, and IRS. Additionally, the False Claim Act (FCA) allows private citizens to bring claims on behalf of the federal government to recover payments made based on fraudulent submissions — these qui tam suits allow the private party to keep part of the recovery. We work with clients at all stages to effectively deal with whistleblowers, from helping to design an effective compliance program to deal with internal reports to defending our clients in investigations and litigation stemming from whistleblowers.

Global Anti-Corruption Compliance and Defense

Andrews Kurth Kenyon attorneys have extensive experience helping national and multinational companies respond to potential violations of the FCPA, the UK Bribery Act, and other anti-corruption laws. This includes collecting and analyzing financial records and related materials, conducting investigations and interviews on a worldwide basis and assisting clients in the often difficult decisions regarding self-reporting of anti-corruption issues to regulatory authorities. With this knowledge of the intricacies of anti-corruption actions, we also regularly represent companies in connection with formal and informal investigations and criminal and civil enforcement actions by the Department of Justice and the Securities and Exchange Commission. Equally important, we work with clients to develop strong and effectively communicated compliance programs that may reduce or eliminate the instances of unlawful actions by groups and individual representatives of the company.

Cybersecurity

Our lawyers help clients with Cybersecurity preparedness, investigations, and response. These attorneys have experience with criminal prosecution, internal and government investigations, and information security. With prior experience ranging from former network engineer to federal prosecutor, these attorneys can assist with strategies to avoid and mitigate cybersecurity incidents and to deal with the aftermath. By engaging Andrews Kurth Kenyon early in the process, clients can benefit from our management of a thorough investigation and response to any incident, while potentially minimizing legal risk and exposure.

OFAC Compliance and Enforcement

The Office of Foreign Assets Control within the United States Department of Treasury continues to aggressively enforce economic sanctions against targeted regimes and individuals, and issue an ongoing series of regulations and guidelines that support U.S. national security goals and foreign policy objectives. Our lawyers offer counsel to companies in a wide range of industries, helping those businesses stay informed about the latest OFAC initiatives, assure compliance and respond to any investigation regarding alleged violations.

White Collar Criminal Defense

We represent individuals and corporations in all areas of defense work, including internal investigations, federal and state investigations, trial, grand jury practice, and appeal. Businesses and individuals throughout the world face increasingly aggressive government enforcement. Matters formerly handled through civil or regulatory processes now result in criminal investigations. We understand that the best result for the client is to avoid any prosecution, and our significant government experience helps our clients navigate the difficult process of investigation. And our extensive experience with compliance programs helps us advise our clients on best practices to prevent criminal problems from developing. But if clients face criminal charges, we have the extensive trial and appellate experience to mount a vigorous defense on their behalf.

For more than a century, Andrews Kurth Kenyon has been providing Straight Talk to clients about legal and ethical best practices. As the legal and regulatory environment evolves, our experienced lawyers can help businesses set a “tone at the top” that reflects sound governance.

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