Compliance, Sanctions & Investigations

Information, knowledge, experience, and insight are critical to making informed decisions and avoiding unnecessary risk.

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BRG’s Compliance, Sanctions & Investigations practice furnishes companies, legal counsel, and other advisors with relevant, timely, and actionable information and analysis to enable well-informed decisions within complex and competitive operating and regulatory environments.

We premise our services on the notion that information, knowledge, experience, and insight are critical to making informed decisions and avoiding unnecessary risk. Our professionals uncover facts and formulate actionable strategies to help clients tackle their most significant challenges. Whether in a dispute, contemplating a business transaction, assessing or implementing a compliance program, or responding to a civil or criminal regulatory inquiry, developing, understanding, and placing the salient facts in the appropriate context are key steps to obtaining a successful outcome.

What We Do

Compliance & Regulatory Consulting

Complying with domestic and international banking and money-laundering laws and regulations presents a constant challenge for financial institutions, corporations, private equity firms, hedge funds, casinos, and parimutuel wagering facilities. The Bank Secrecy Act (BSA), Anti-Money Laundering (AML), the Office of Foreign Asset Control (OFAC), and other jurisdiction-specific regulatory frameworks and initiatives focus on detecting and preventing money laundering, terrorist financing, and other financial crimes, sharing a goal of safeguarding the global financial system from illicit activities while promoting transparency and accountability in financial transactions. BRG professionals work with clients to enhance their compliance programs to prevent, detect, and appropriately report illicit financial activities.

We collaborate closely with clients to enhance governance programs to reduce the risks associated with international commerce and complex regulatory environments. Drawing on decades of experience, our teams are skilled in evaluating regulatory compliance programs; revising and enhancing policies and procedures; assessing technology, such as interdiction- and transaction-monitoring systems; and undertaking due diligence on high-risk customers and counterparties. We have the capabilities to undertake large-scale transaction reviews, conduct in-depth know-your-customer research and analysis, and assist in the preparation of required regulatory filings. Additionally, we advise regarding the risks and advantages and disadvantages of voluntarily disclosing violations to regulatory authorities.

FCPA, Anti-Bribery & Anti-Corruption

Foreign Corrupt Practices Act (FCPA) investigations require multidisciplined, multijurisdictional teams adept at gathering facts, conducting interviews, evaluating accounting and financial data, and planning and executing eDiscovery activities while effectively coordinating with counsel and interacting with government regulators.

As former forensic partners at international accounting firms, financial fraud investigators, and internal auditors, our professionals have led international investigations for Fortune 500 and other multinational corporations. Our teams possess a deep understanding of the roles and responsibilities of monitors, as well as the perspectives and interests of regulators, prosecutors, and other stakeholders. Further, our teams combine functional and regulatory expertise with strong industry capabilities to bring unparalleled focus and value to our clients.

Our professionals also have extensive experience developing, evaluating, enhancing, and monitoring compliance and anti-fraud programs. Our combination of broad skills and cross-industry experience uniquely qualifies us to advise with respect to both the FCPA and other jurisdictions’ anti-bribery and anti-corruption compliance (ABAC) and anti-fraud regimes.

Our professionals have significant global experience in both industry and government. We have worked on high-profile engagements on behalf of external legal counsel, court-appointed receivers and trustees, and corporations. Our team has implemented global and regional compliance and anti-fraud programs, provided government investigation support, and developed corporate integrity agreements. In addition, we have acted as both the monitor and independent auditor of compliance programs for clients and government agencies. Leveraging our collective experience across industries, we have developed a tried-and-tested approach to identify, prioritize, and manage risks; and establish effective compliance and anti-fraud programs that support and add value to business operations across multiple jurisdictions and within multiple industries.

ISO 37001 Compliance, Audit & Certification

Clients accrue numerous benefits by obtaining the ISO 37001 certification, which promotes an effective and proportionate anti-bribery program. These advantages include benchmarking anti-bribery management systems, which boost confidence among internal and external stakeholders by signalling that the organization has taken adequate measures to combat bribery while promoting a culture of compliance. BRG professionals possess extensive experience and expertise in assisting clients in attaining and maintaining the ISO 37001 certification.