Institutional Governance, Compliance & Ethics

Institutional Governance, Compliance & Ethics

Freeh Sporkin & Sullivan LLP (FSS) provides counsel and assists the board and management in fulfilling their governance roles by designing an appropriate operating model. Our model will enable the board and the executive leadership to organize the governance structure, mechanisms and control environment by which governance is implemented. In building the model, FSS will evaluate current controls and operations, which may identify overlaps and gaps among the current environments. These inadequacies often lead to failure to enact the policies that are currently in place. Contact FSS today to learn more about how our legal team can assist you.

Our Legal Services

FSS offers the following services to assist in the identification and remediation:

  • Board of Directors Guidance
    • Assistance in drafting Board resolutions to regulators
    • Provide analysis of historic regulatory outcomes to the current issue
  • Ethics & Compliance programs for newly created governmental regulatory bodies
    • EU experience
    • U.S. experience
    • Program development and Implementation
    • Violation investigations and consequence management
    • Hot Line
  • Anti-Money Laundering & Sanctions (AML)
    • Board of Directors guidance
    • AML Program review, testing and remediation
    • AML Program development
    • Supplemental AML investigators to support Consent Order lookback
    • Office of Foreign Assets Control (OFAC) testing
    • Lookback analysis
    • AML training for staff/management & Board of Directors
  • Bank Secrecy Act (BSA)
    • Program review & testing
    • BSA Officer evaluation
    • Education development
  • Foreign Corrupt Practices Act (FCPA)
    • Program review
    • Global testing of FCPA program
    • Third-party management and monitoring
    • Program benchmarking
    • Training & Education
    • Risk assessments & management
  • Ethics Program
    • Development
    • Violation investigations
    • Hot Line
  • Colleges and Universities
    • Board responsibility for Institutional Governance
  • FSS Transaction Analysis and Case Management System Software
    • Custom rule development
    • Customization for specific needs
    • OFAC integration option
    • MRB integration option
    • Case tracking/review and approval

Contact Freeh Sporkin & Sullivan LLP

When it comes to institutional governance, compliance, and ethics, there is nothing more important than retaining seasoned counsel. Our legal team is prepared to help you through your legal matter, from start to finish. Contact FSS today to schedule your initial consultation with our experienced firm.