We possess deep expertise in both proactive and reactive engagements involving anti-corruption matters. On the proactive side, we’ve evaluated the efficacy of existing compliance programs and related controls, and performed risk assessments and gap analyses, evaluated compliance of supply chain partners with Company policies, and evaluated risks associated with acquisitions. On the reactive side, we’ve managed investigations across the globe and provided expert testimony.
Case Examples
- Investigated FCPA violation allegations involving a global energy company’s location in Africa. Performed detailed risk assessments, analyzed electronic data, and analyzed records to determine the status of transactions with government officials and high-risk third-party sub-contractors.
- Managed the review of anti-corruption compliance within a global chemical company’s third-party agent network in the Middle East. Focused on high-risk transactions with sub-contractors, customers, petty cash, and gifts, travel & entertainment.
- Led FCPA investigation of privately held services company, involving transactions in South and Central America. Performed detailed risk assessments, analyzed electronic data, collected data in international locations, and analyzed records to determine the status of transactions with government officials.
- Managed M&A due diligence for Fortune 100 company with worldwide operations. Performed sell-side and buy-side due diligence for pending divestitures and acquisitions in the PRC related to possible FCPA violations. Conducted detailed risk assessment, reviewed transactions, conducted interviews with key personnel, and used forensic tools to identify red flags.
- Conducted testing and evaluation for a global mining company’s anti-corruption compliance policies and controls for the company’s operations in South America and Africa. Focused on high-risk transactions with subcontractors, customers, petty cash, and gifts, travel & entertainment. Prepared a report of findings including gaps requiring remediation.
- On behalf of the SEC, analyzed the anti-corruption controls, policies, and anti-corruption compliance program for an upstream energy company, specific to their operations in West Africa, including its dealings with third party agents, logistics, and customs officials. Issued several detailed reports covering our findings, opinions, and rebuttal opinions on the adequacy of the existing anti-corruption policies and controls, the degree to which these controls and policies were ignored and/or circumvented, and the degree of compliance with the books and records provisions of the FCPA. Provided expert testimony.
- Managed the review of anti-corruption compliance within a global E&P company’s global supply chain, focusing on vendors throughout Asia-Pacific, the Middle East, and Latin America. Focused on high-risk transactions with logistics partners, sub-contractors, and gifts, travel & entertainment.
Jeffrey Harfenist
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“In his testimony at our arbitration
hearing, Jeffrey was the actual
smartest guy in the room.”
Drew Fossum, General Counsel
Tenaska Energy, Inc.