5
of the top 15 FCPA settlements have involved our expertise
14
Compliance Monitorships involved with since 2009
30+
Countries in which we've conducted compliance reviews
We are regularly hired by law firms and corporations to provide expertise on some of the world's largest compliance matters and are consistently recommended for our ability to go the extra mile. Our diverse team are experienced in conducting internal and regulatory investigations, performing and evaluating transactional and controls testing, and undertaking reviews of compliance programs in a wide variety of contexts.

We have served as an independent monitor and also supported monitors appointed by the US Department of Justice (DOJ), US Securities & Exchange Commission (SEC), Public Company Accounting Oversight Board (PCAOB) and New York Department of Financial Services (NYDFS) on a number of matters.  We have been involved in monitorships related to Anti-Bribery and Corruption (ABC), Anti-Money Laundering (AML), Office of Foreign Assets Control (OFAC) sanctions violations, fraud, and PCAOB accounting and auditing standards.

We have also assisted clients operating under Deferred Prosecution Agreements (DPAs) in preparing for and interacting with compliance monitors. In this capacity, we have been responsible for the assessment, design and/or monitoring of compliance policies and procedures.

We combine the latest data mining technology with forensic investigative accounting expertise to assist companies and their legal counsel in a broad range of areas including corporate and social responsibility, human rights, product liability, sanctions, anti-bribery and corruption, anti-money laundering and terror financing, and taxation.

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What Makes Us Different

Understanding Regulators

We have considerable experience interacting effectively with regulators around the world. Our teams have presented before regulators in connection with internal investigation findings and reporting as a Monitor or part of a monitorship team. Combined with the advantage of having former regulators on our team, we have deep insight into regulators’ expectations and requirements and how companies should best communicate to them.
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Compliance Analytics

Our monitorship approach utilizes data analytics to provide rigorous and tailored testing of existing and newly implemented controls to assess their effectiveness with the ultimate goal of providing recommendations and practical solutions to align governance and internal controls. We collect and analyze data for use in legal disputes and investigations in a number of areas, including litigation, fraud, bribery and corruption investigations.
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Forensic Investigation Expertise

We have considerable experience in investigating and remediating allegations of accounting and disclosure fraud, money laundering, trade control violations and sanctions, corruption and bribery, and asset misappropriation and embezzlement. We offer seamless integration across our service areas and subject matter experts to help clients build robust and customized compliance programs.
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Experts in Complex Calculations

We have been engaged in a number of high profile settlement discussions, including disgorgement penalties and ability to pay calculations, which can sometimes accompany a monitorship or deferred prosecution agreement (DPA). We have presented in connection with financial settlements with the US DOJ, SEC, OFAC and UK SFO as well as Swiss, French, Dutch, Swedish and Brazilian authorities. We understand what approaches regulators and enforcement authorities will accept and/or have accepted in the past.
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Our Team

Frances-bio-new
Frances McLeod, Founding Partner
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Jen Baskin
Jen Baskin, Partner
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Stacy Fresch, forensic accountant
Stacy Fresch, Partner
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FRA Partner Neil Goradia
Neil Goradia, Partner
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Emma Hodges fra, forensic accountant
Emma Hodges, Partner
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Jenna Voss
Jenna Voss, Partner
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