COMPLIANCE PROGRAMS

Using a cross disciplinary approach, Tendy Law creates best practices programs to evaluate and strengthen internal controls, risk management processes and compliance programs.   We have extensive experience responding to any regulatory or government inquiry.  Assessing the significance of an inquiry early in the process and formulating an appropriate response can save an institution millions of dollars in fines and protect against potential prosecution. We specialize in working on a parallel track to address both regulatory and prosecutorial scrutiny. We work closely with both to negotiate settlements of enforcement actions. Our goal is to create compliance and integrity programs that restore corporate credibility.

INVESTIGATIVE PRACTICES

We work with in house and outside counsel to create ethical investigative programs and policies to ensure proper investigative protocol in a response to any issue or crises.

Noteworthy Matters

  • Retained by a global media company to analyze existing compliance policies and procedures across all business lines to make recommendations for change in anticipation of the merger closing with a United States based cable provider. The matter involved a detailed analysis of both division and functional policies for the new company and also required collaboration with the highest levels of both division and executive management. The matter involved weekly working group meetings to plan the launch of the new policies and creating strategic recommendations regarding the redrafting of existing policies for both companies which resulted in a new set of policies for “day 1” post merger close.
  • Analyzed and drafted policies and implementing procedures relating to the anti-money laundering compliance of a global bank. The matter was the result of regulatory and government scrutiny in the wake of a global money laundering scandal. Collaborated with and interviewed all levels of management and staff to ensure no gaps existed in the design and implementation of procedures.
  • Advised the management of several small financial institutions regarding compliance policies and procedures facing issues from significant crises to traditional bank regulatory matters.
  • Advised the management of an educational testing service, as outside investigative counsel, to advise on its compliance under the No Child Left Behind Act under federal and state law.