Government Compliance and Investigations

Practice Area

Our highly credentialed team’s strong prosecutorial and ethics backgrounds, including a former Presidentially-appointed United States Attorney, Chairman of the New York State Public Service Commission, New York State Deputy Attorney General, Executive Director of the New York State Ethics Commission, and a Best Lawyer in America have made Harris Beach the firm of choice organizations of all sizes call upon to handle their high-risk, high-visibility federal and state investigation and compliance matters. 

No matter what industry or field you work in, your organization and your executives face a growing number of complex government regulations relating to almost every phase of business operations.

Recent federal and state landmark legislation and increased scrutiny in the areas of ethics, compliance, lobbying and procurement have caused even the most diligent organizations and executives to continually re-evaluate and update their procurement protocols, contractor vetting processes, risk assessment and management systems, and internal investigation capabilities. The Public Authority Accountability Act (2005), Procurement Lobbying Act (2005), Public Employees Ethics Reform Act (2007), Public Authorities Reform Act (2009), Public Integrity Reform Act (2011), and the New York State Attorney General Code of Conduct have together dramatically changed the landscape of ethics, lobbying and compliance and added a significant degree of uncertainty to compliance systems.

In today’s environment of heightened accountability, organizations and executives often face intense public scrutiny in connection with their projects and transactions. Government investigations are becoming more prevalent and visible to the public. Federal, state, and local governments are increasingly relying on the criminal justice system for regulatory enforcement rather than entering into hearings or negotiations before considering criminal prosecution. These governmental inquiries can have serious and long-lasting effects on an organization and its reputation.

Working closely with Harris Beach attorneys to implement a strong governance and risk assessment system can help your organization:

The Government Compliance and Investigations Practice Group at Harris Beach can help organizations protect themselves from the potentially disastrous results such investigations can bring and safeguard their image while under public scrutiny. Our attorney team has the expertise and depth of resources to address all issues related to compliance, business ethics, government investigations, and actions. We have extensive experience providing clients with specific guidance on organizational and operational issues including governance, ethics, freedom of information law, open meetings law, procurements, property dispositions, compliance reporting, in addition to broad programmatic counsel on compliance and public oversight.

Our services include:

Government Compliance

Compliance and Risk Management

The best way to deal with the risk of professional liability or litigation is to take a proactive approach to risk assessment and compliance. Through preventative counseling, we can help organizations establish policies and procedures to foster compliance, avoid governmental actions, and endeavor to keep inquiries out of the public eye.

Compliance Program Maintenance and Training

The U.S. Department of Justice, New York State Attorney General’s Office, as well as other authorities, gauge the effectiveness of an organization’s compliance effort by measuring criteria which include how diligently programs are kept current with legal developments and how carefully those programs are disseminated to managers and employees. We can verifiably conduct any required periodic presentations to Board members and senior management, as well as required employee training. Our team can help institutional clients identify related corporate and executive retention issues, such as how obligations to provide indemnification and defense costs may be structured consistent with your company’s desire to achieve favorable treatment in a governmental investigation or enforcement proceeding.

Conducting Internal Investigations

Many of our attorneys, including former governmental ethics executives; former federal, state, and local prosecutors; and experienced white-collar practitioners and litigators; have conducted comprehensive internal investigations on an expedited basis. These confidential and carefully structured reviews have been managed both for clients’ self-initiated inquiries, and in response to governmental action. Our reviews are designed to reveal all facts and implications of the matter under scrutiny, and maximize clients’ ability to claim privilege, as appropriate, to the investigation results.

Compliance Audits and Program Implementation

Our attorney team can advise you of the domestic and foreign laws affecting key aspects of your current or planned operations, identifying what those laws require, and how the compliance function may be used to obtain competitive business advantage. Should representation by an overseas-admitted legal representative be required, our correspondent relationships with members of the international bar permit us to refer reliable co-counsel for such special appearances. In addition, to the extent new or upgraded compliance programs are advisable in light of changing requirements or enforcement policies, our team members can design and implement cost-effective solutions for particular operating units, or across your business enterprise, as needed.

Immigration and Export Compliance

Harris Beach’s proactive approach to counseling clients applies not only to ethics and best practices issues but also to human resources. Immigration law requires that employers complete and retain an employment eligibility verification form I-9 for each person they hire to work in the U.S. Our Immigration Law Practice Group counsels employers on employment eligibility verification and can conduct internal I-9 audits, train a client’s employees, and otherwise provide guidance and representation in this compliance area, which has become a target of heightened federal examination.

We counsel employers on the use of electronic employment verification systems such as
E-Verify, which appears destined to become mandatory for federal contractors. Harris Beach also provides a full array of employment-based immigration legal services, covering temporary workers and employment-based permanent residence, as well as citizenship applications. Our Immigration Law attorneys also represent employers who deal with export control issues due to the sensitive nature of their products and/or services.

Investigations and Defense

Defense in Regulatory and Criminal Matters

Our Government Compliance & Investigations attorneys handle all stages of the defense in a criminal prosecution from the investigative and pretrial phases, through trial and appeal. We have earned a reputation for effectively representing our clients in administrative and civil proceedings throughout the state of New York.

In today’s heavily regulated and economically uncertain environment, it is more important than ever for organizations to manage risk and protect their interests. Our team can provide the indispensable counsel to help organizations navigate government regulations and defend themselves should they face formal actions related to non-compliance. We offer a full range of advocacy in compliance-related dispute resolution, whether it be arbitration, informal regulatory office actions, administrative hearings, or litigation.

Our team has far-reaching experience in counseling and defending companies and their management teams on a broad range of issues including:

Controversial and Crisis Communication Management

A government inquiry can expose an organization and its stakeholders to significant public and media attention with the potential of negatively impacting their brand, bolstering their competition, and jeopardizing their ability to procure future government work. To mitigate such damage, organizations need to successfully manage these situations with strategic communications designed to put the controversy behind them as quickly and completely as possible.

Our communication consulting services help clients successfully manage such controversial and crisis situations as environmental issues, regulatory violations and government investigations, personnel issues, financial related issues, and criminal charges. Our team also helps organizations take a proactive approach by identifying potential risks and developing, implementing, and maintaining response plans to limit risk and enhance the potential for successfully preserving their position in controversial or crisis situations.

Data Forensics and Forensic Accounting

Our Certified Computer Examiner professionals can help Harris Beach clients recover relevant hidden or deleted files through a verified process that ensures this discovered evidence is admissible in a court. It is not uncommon these days for a single hidden document or deleted e-mail, recovered through data forensics to become the crucial digital evidence that facilitates a favorable settlement or wins a case. In an environment where over 90% of all commercial documents are produced and stored on computer systems, and 90% of U.S. corporations engaged in some type of litigation, data forensics has become a legal necessity.

In addition to our data forensic services, Harris Beach offers forensic accounting and fraud investigation capabilities through an on-staff Certified Financial Crime Investigator.

Financial Institution Compliance

Bank Secrecy Act/Anti-Money Laundering Compliance

Harris Beach counsels U.S. financial institutions and other regulated entities in Bank Secrecy Act and Anti-Money Laundering compliance. Our services include conducting internal investigations of suspect transactions and advising the client on how to proceed with or without self-reporting; securing administrative rulings favorable to client positions; responding to regulatory enforcement actions against the institution itself or against merger partners; responding to regulatory or law enforcement investigations of customers; and updating internal compliance programs to meet current U.S. regulatory requirements and those imposed on cross-border transactions by major foreign jurisdictions.

Foreign Corrupt Practices Act (FCPA)

We assist international business clients, including those involved in geopolitical areas identified as at the highest risk for commercial and governmental bribery, with their FCPA operational goals. Our services include advising clients on the propriety and completeness of their FCPA compliance programs, advising on particular operational safeguards to maximize the successful launch of new products or services by affiliates in overseas jurisdictions, and providing representation during the course of enforcement investigations and prosecutions.

International Trade Law

The federal laws restricting trade with various countries (e.g., Iran, Sudan, and Cuba) affect the ability of financial institutions to facilitate transactions involving wire transfers and letters of credit which either “pass through” those countries or involve persons or entities on any one of a number of federal ’special designation’ lists. We advise senior loan officers on these considerations and suggest a compliance program to identify related issues, and to handle regulatory enforcement actions related to the international trade operations of banking client customers.

Fraud Actions

Our attorneys have considerable experience with litigated matters involving various allegations of fraud which require interaction with State or Federal law enforcement beyond the requirements of conventional civil litigation. Harris Beach has successfully obtained dismissals of federal antitrust, securities fraud, RICO, and conspiracy claims against our financial institution clients in various State and Federal courts. We have also conducted internal investigations and recovered millions of dollars for our financial institution clients through direct legal action, and by obtaining civil restitution payments with the cooperation of law enforcement authorities.