Corporate Governance and Investigations

Corporate governance practices have received heightened scrutiny from regulators, auditors, rating agencies and shareholders following corporate scandals in the early 2000’s (Enron, WorldCom), which led to the Sarbanes-Oxley Act, and the financial meltdown of 2008-09, which led to the Dodd-Frank Act.

Much of the focus has been on transparency and accountability in the area of financial reporting and controls, fraud prevention and detection, mitigation and prevention of conflicts of interest, board oversight and independence, and compensation structures and claw back mechanisms.

We have first-hand experience in serving on corporate boards and audit committees, participating in and conducting training for both executive and non-executive directors, preparing compensation policies, and establishing internal governance and compliance programs. In this connection, we have worked directly with regulators in the U.S., Europe, Asia and Australia with respect to these various governance and compliance areas.

We have also counseled boards and audit committees on best practices related to whistle-blower complaints, and managed or conducted the associated internal investigations, crisis management and public relations communications.

In light of the enhanced scrutiny regulators and auditors apply to financial services institutions today, establishing an appropriate corporate governance structure, including procedures for responding to whistle-blower complaints and conflicts of interest, are essential to protect your business from the significant reputational harm and financial exposure that could result.

We have deep experience in these areas, and have also successfully resolved associated regulatory, civil, and white collar proceedings. We are fully prepared to assist you in these areas to protect your best business interests.

© Vocke Law Group LLP | Disclaimer

Website by FirmWise