Skip to main content

The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2017


Speaker(s): Anirudh Bansal, Beatrice M. Schaffrath, Bruce Yannett, Charles E. Cain, Charles E. Duross, Daniel S. Kahn, Greta Lichtenbaum, James Loonam, James J. Benjamin, Jr., Jason A. Jones, Jay Holtmeier, Jeffrey D. Clark, Jennifer Gillian Newstead, Jordan A. Thomas, Joseph M. Azam, Justin Siegel, Karen A. Popp, Karen Handelsman Moore, Katherine Hargis , Kathryn Cameron Atkinson, Kimberly A. Parker, Laurence A. Urgenson, Mark F. Mendelsohn, Nancy Kestenbaum, Nathaniel B. Edmonds, Neil T. Smith, Nicole W. Friedlander, Patricia M. Byrne, Patrick F. Stokes, Pedro A. Medrano, Philip Urofsky, Richard N. Dean, Richard S. Levick, Esq. , Richard W. Grime, Sulaksh R. Shah, Susan Munro, Thomas A. Hanusik, Thomas J. Koffer, Yanhua Lin
Recorded on: Apr. 24, 2017
PLI Program #: 186005

Anirudh Bansal is a member of Cahill Gordon & Reindel LLP's litigation practice group.

Anirudh advises global financial institutions, multinational companies, boards, committees, and directors and officers in criminal and regulatory investigations by the Department of Justice, Securities and Exchange Commission, Commodity Futures Trading Commission, Department of the Treasury, FINRA and State Attorneys General. He has broad experience in matters involving securities and commodities regulation, the Foreign Corrupt Practices Act, economic sanctions compliance, anti- money-laundering, and antitrust laws. Anirudh is recommended  as a leading lawyer by Chambers USA and The Legal 500 for white collar criminal defense, and is recognized as a Future Star by Benchmark Litigation.

Prior to joining Cahill, Anirudh served as an Assistant United States Attorney for the Southern District of New York and Co- Chief of the Complex Frauds Unit, and in that capacity prosecuted and supervised the prosecution of offenses including: securities fraud, fraud against financial institutions, embezzlement, money laundering, obstruction of justice, mortgage fraud, tax fraud, criminal violations of Office of Foreign Assets Control regulations, violations of the Foreign Corrupt Practices Act, and other financial crimes. During his tenure, Anirudh conducted 18 criminal trials and argued numerous appeals before the United States Court of Appeals for the Second Circuit.

Prior to his appointment as Co-Chief of the Complex Frauds Unit, Anirudh served in the Securities and Commodities Fraud Unit, and was Chief of the International Narcotics Trafficking Unit. He  joined the U.S. Attorney's Office in 2000.

Before joining the U.S. Attorney's Office in 2000, Anirudh was a litigation associate in private practice from 1994-2000.

SELECTED MATTERS

  • Representation of HSBC in criminal and regulatory investigations by the Department of Justice, OFAC, and banking regulators relating to Bank Secrecy Act and OFAC compliance.
  • Representation of Credit Suisse in various securities- and commodities-related regulatory matters.
  • Representation of the Audit Committee of a leading multinational telecommunications provider in an internal investigation related to the Foreign Corrupt Practices Act.
  • Representation of an international gas and energy company in an internal FCPA investigation.
  • Counseling several of the world's largest banks and one of the world's largest consumer goods companies in connection with anti-corruption diligence.
  • Representation of the director of a private equity firm in connection with an SEC investigation concerning market manipulation.
  • Representation of a former managing director of an international bank in an investigation by the SEC and the NY Attorney General relating to residential mortgage backed securities.

Practices

Corporate Governance & Investigations

Crisis Advisory Commercial Litigation

Securities Litigation & White Collar Defense

Education

Princeton University, A.B., 1990, cum laude

New York University School of Law, J.D., 1993, NYU Law Review

?
Clerkships/Government Service

Honorable Alfred J. Lechner, Jr., United States District Court, District of New Jersey, 1993

Assistant U.S. Attorney, SDNY, 2000

Admission

  • New York


Susan Munro is a partner with Steptoe & Johnson LLP and head of the firm’s Beijing office. She has advised financial institutions, multinational companies and investment funds on China-related business and investment matters for more than 18 years. She regularly assists clients with China market entry and exit strategies, mergers and acquisitions and strategic investments and has extensive experience of the Chinese chemicals, pharmaceuticals and medical devices, energy, semiconductor, food, apparel and software industries, as well as the financial services sector.

For the past 15 years Ms. Munro has conducted numerous China-related Foreign Corrupt Practices Act and SEC investigations in China and throughout South East Asia. She is one of the few experienced fully bilingual investigators based in China and regularly assists clients with development and implementation of anti-corruption compliance policies and programs.

Ms. Munro has been active in Hong Kong and China-related arbitrations for several years and has represented clients in disputes before various international arbitration commissions. She regularly advises clients involved in cross-border litigation involving Hong Kong, China, the UK, the US and other jurisdictions.

Ms. Munro also has deep experience of the Chinese labor and employment environment and regularly advises clients on structuring labor relationships, terminations, mass layoffs and ethics matters. She also has extensive experience of advising on protection of intellectual property in China and enforcement of IPR.

Ms. Munro was educated in England and Hong Kong. After graduating in Chinese, she pursued post-graduate studies at Fudan University in Shanghai as a British Council Scholar and is fluent in Putonghua (Mandarin). She trained at the Inns of Court School of Law, London, and was called to the Bar of England & Wales and to the Bar of the Hong Kong SAR, where she practiced as a barrister in the Hong Kong courts. Before joining Steptoe, Ms. Munro worked for a large US law firm in Shanghai for ten years. She is admitted as a solicitor in England & Wales and is licensed by the PRC Ministry of Justice as a Registered Foreign Lawyer and Chief Representative of the firm’s Beijing office.

Noteworthy

  • China Law & Practice, Lawyer of the Year: Regulatory & Compliance, 2015
  • Chambers Asia-Pacific, Corporate Investigations/Anti-Corruption: China, 2012-2017
  • Chambers Global, Corporate Investigations/Anti-Corruption: China, 2015- 2017
  • Chambers Global, Dispute Resolution: China, 2012-2014

Select Seminars & Events

The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2017, Practising Law Institute, April 25, 2017

Compliance: Adapting to Uncertainty, AmCham China 2017 White Paper Launch & Government Affairs Annual Conference, April 18, 2017

What Banks and Financial Institutions Should Know About International Arbitration, Launch of ICC Commission Report: Financial Institutions and International Arbitration, April 10, 2017

“Clean” Trade – Anti-Bribery and Corruption Risk and the International Supply Chain, Inter-Pacific Bar Association, April 8, 2017

Anti-Bribery Enforcement: Handling Whistleblower Claims Effectively, 2017 AmCham Compliance Committee Kick-Off Event, March 31, 2017

How to Deal with Employees and Their Rights During Investigations, GIR Live

Hong Kong, October 19, 2016

Selected Publications

2016 FCPA Year in Review
February 16, 2017

Generation Shift: Recent Developments in US-China Business Relations and the Path Ahead Under President-elect Trump
January 19, 2017

Reinsurance Update
October 2016

PRC Promulgates New Legal Interpretations for Criminal Cases Involving Bribery and Corruption
May 12, 2016 

Reinsurance Update
March 2016

2015 FCPA Year in Review
March 8, 2016

Finally, A DPA from the UK: Assessing and Comparing the Standard Bank Judgment
January 15, 2016

Professional Affiliations

Member, Chartered Institute of Arbitrators

Arbitrator, Shanghai Arbitration Commission

Areas of Practice

  • Corporate, Securities & Finance
  • FCPA / Anti- Corruption
  • Insurance & Reinsurance
  • China Insurance & Reinsurance
  • Reinsurance Litigation, Arbitration & Counseling
  • International Arbitration
  • ERISA
  • Government & Internal Investigations
  • Anti-Money Laundering

Languages

  • Mandarin Chinese
  • Cantonese
  • French
  • Spanish

Education

  • School of Oriental & African Studies, University of London BA Chinese (Hons)
  • Manchester Metropolitan University, L.L.B (Hons)


Ms. Newstead is a partner in Davis Polk’s Litigation Department, concentrating in regulatory enforcement investigations, white collar criminal defense and internal investigations.  She represents leading global corporations and financial institutions in high-profile investigations involving allegations of foreign bribery, economic sanctions violations, money laundering, market manipulation, securities and accounting fraud, and other financial crimes.  Ms. Newstead also regularly represents Boards of Directors, Audit committees and management teams on corporate governance matters, and advises on the design and implementation of compliance programs.

Ms. Newstead’s global practice has included numerous anti-corruption investigations for Fortune 100 companies in the technology/media, life sciences, hospitality, consumer products and other industries. She regularly appears before the Department of Justice, SEC, and other law enforcement agencies in the U.S. and abroad, and is a frequent speaker on anti-corruption enforcement and policy issues.  Recent representations include a Fortune 50 company and a leading global pharmaceutical company in industry-wide FCPA investigations by the DOJ and SEC involving allegations in numerous countries; three global public companies in corruption investigations in China, greater Asia and Latin America; and two global corporations in Board-level FCPA investigations and compliance program reviews.

Ms. Newstead regularly represents global financial institutions in regulatory enforcement matters involving the DOJ, Treasury, Federal Reserve, OCC, CFBP and DFS. She currently represents one of the world’s largest global commercial banks in investigations relating to sanctions and anti-money laundering; a global securities custody and settlement system in a criminal investigation relating to U.S. economic sanctions; and a global financial institution in an investigation of alleged market manipulation involving currency trading.  Previously, Ms. Newstead led the successful criminal defense of the largest commercial bank in Italy, in a high-profile sanctions investigation by DOJ, OFAC, the Manhattan District Attorney’s Office and the Fed which resulted in a rare public decision by U.S. authorities to decline criminal charges.

From 2001-2005, Ms. Newstead served in senior government positions at the Justice Department and the White House, including as a Principal Deputy Assistant Attorney General for Legal Policy and  General Counsel of the White House Office of Management and Budget.  In those roles, she helped create the first interagency Corporate Fraud Task Force and played a key role developing legal policy initiatives to combat terrorism and financial crime, including the USA Patriot Act.  At DOJ she received the Attorney General’s Award for Exceptional Service, the Department’s highest honor.

Ms. Newstead clerked for U.S. Supreme Court Justice Stephen Breyer and for D.C. Circuit Judge Laurence H,. Silberman.  She received her J.D. from Yale Law School and her A.B. from Harvard University.


Jeffrey D. Clark is a partner in the Litigation Department of Willkie Farr & Gallagher LLP and is a member of the Compliance & Enforcement Practice Group in Washington.

Mr. Clark represents corporations and individuals in a wide variety of civil and criminal investigations and enforcement matters, including grand jury investigations and SEC enforcement actions.  His practice includes conducting complex, worldwide internal corporate investigations and providing advice to corporate management and directors regarding enforcement matters.  He also counsels companies on designing and implementing corporate compliance programs.  Mr. Clark specializes in Foreign Corrupt Practices matters, and also has substantial expertise in other types of international business and white collar litigation.

Mr. Clark lectures frequently in the United States and abroad on corporate compliance and enforcement matters and on conducting internal investigations.  He has served on the Board of Directors of TRACE International, a non-profit membership association of multinational companies dedicated to enhancing anti-bribery compliance, and as a Co-Chair of the International Anti-Corruption Committee of the ABA Section of International Law.

Mr. Clark was formerly a federal prosecutor with the United States Department of Justice.  During his seven years as an Assistant U.S. Attorney in the District of New Jersey, Mr. Clark served as both the Deputy Chief of the Special Prosecutions Division and the Deputy Chief of the Criminal Division.  In these capacities, he was responsible for overseeing all of the district’s prosecutions in the areas of public corruption, securities fraud, healthcare fraud, money laundering, immigration fraud, and terrorism. 

He personally prosecuted a wide variety of white collar and public corruption cases, serving as lead trial counsel in numerous complex federal criminal trials.  Among his noteworthy cases were a series of high-profile public corruption prosecutions in New Jersey in which more than ten individuals were convicted of extortion, bribery, fraud, and tax offenses.  Additionally, he was involved in a post-9/11, international terrorism sting investigation, conducted in conjunction with Russian and British authorities, in which a British national was prosecuted for attempting to smuggle into the United States a surface-to-air missile for use in terrorist attacks against U.S. commercial aircraft.

Immediately after law school, Mr. Clark served as a law clerk to United States District Judge Maryanne Trump Barry in the District of New Jersey.

Mr. Clark is admitted to the Bars of the District of Columbia and New Jersey.

Mr. Clark received a J.D. summa cum laude from the Washington College of Law at American University in 1991, where he was an editor on the American University Law Review and a member of the Washington College of Law Honor Society.  He received his B.S. in Business Administration from Bucknell University in 1986.


He has distinguished himself as an outstanding FCPA practitioner, . . . he has a terrific boardroom presence and a practical approach to dealing with issues and governments around the world." –Chambers Global 2015

Larry Urgenson is a co-leader of the firms' Global Anti-Corruption & FCPA practice. Larry is widely recognized as one of the preeminent FCPA authorities in the United States. He has represented corporate and individual clients in FCPA and anti-corruption matters worldwide for nearly four decades. As noted in Chambers, Larry is "a brilliant lawyer and a leading light at the FCPA Bar." (Chambers USA 2016). He "is highly esteemed for his FCPA practice, which includes advising on statutory compliance and corporate representation in government investigations" (USA 2015), is "known for his experience in high-stakes investigations" (USA 2013) and "offers incredible knowledge in the FCPA area . . . he has great judgment" (USA 2012). Clients praise Larry and state that, "There simply isn't a more client-sensitive strategist out there" (Chambers Global 2016).

Larry was named Benchmark Litigation Star in 2014, 2015, 2016 and 2017. He was also recognized nationally as one of 8 FCPA Masters at the first annual Main Justice Best FCPA Lawyers Client Service Awards in 2013. Additionally, he is a sought-after writer and speaker on white collar matters and is currently the Chairman of the Board of Editors of the Business Crimes Bulletin.

Prior to joining private practice, Larry held key leadership positions at the US Department of Justice (DOJ). As the DOJ's Acting Deputy Assistant Attorney General, he primarily supervised the Fraud Section, General Litigation and Legal Advice Section, and Office of Policy and Management Analysis. Additionally, he testified before various congressional committees regarding the Department's white collar crime initiatives. He also served as the DOJ's Chief of the Fraud Section for the Criminal Division, where he advised US Attorneys on white collar crime issues, supervised the prosecution of bank, securities, and defense procurement frauds, and oversaw the FCPA Unit and the Defense Procurement Fraud Unit. Earlier in his career, Larry served as a Chief Assistant US Attorney for the Eastern District of New York. Larry received the Attorney General's Award for Distinguished Service and the Edmund J. Randolph award for Outstanding Service.


BEATRICE M. SCHAFFRATH is an international legal and compliance executive experienced in cross-border operational, regulatory, and crisis-management issues and challenges – particularly those encountered in Asia. Recognized by various regional and global organizations for her work in anti-corruption, corporate compliance, investigation, dispute resolution, and environmental matters, she is also a regular commentator, presenter, guest-lecturer, and interviewee on these issues.

Until recently, Ms. Schaffrath was Shanghai-based Global Ethics & Compliance Counsel – China, with United Technologies Corporation (“UTC”), a US-headquartered global company active in the aerospace and building industries. In that role, she led, advised and assisted all of the UTC business units in the China region on legal, compliance, ethics, and enforcement matters. Prior to her work with UTC, she was a Beijing-based Partner with international law firm Baker & McKenzie.

Ms. Schaffrath is multi-cultural by birth, inter-disciplinary in mindset, and cross-functional in her collaborations. She received her undergraduate degree in political science from the University of Chicago, a Master’s degree in East Asian/China Studies from the University of Washington, and her law degree from the University of Pennsylvania. She is admitted to practice law in several jurisdictions in the U.S., and is a past Vice-Chair of the American Bar Association’s China Law Committee. She is fluent in Chinese (Mandarin), with some capacity in Hindi and German.


Daniel Kahn has been with the Department of Justice, Criminal Division, Fraud Section since 2010, was an Assistant Chief in the Foreign Corrupt Practices Act (“FCPA”) Unit from 2013 to March 2016, and has been the Chief of the FCPA Unit since that time.  Mr. Kahn earned the Assistant Attorney General’s Award for Exceptional Service for his work on the Alstom case, and the Assistant Attorney General’s Award for Distinguished Service for his part in prosecuting a bribery scheme involving the state-owned and state-controlled telecommunications company in Haiti.  Prior to joining the Department of Justice, Mr. Kahn spent six years at Davis Polk & Wardwell LLP.  Mr. Kahn was twice selected by the New York Police Department Executive Development Division to present on the prevention of wrongful convictions.  He also assisted the New York Justice Task Force in investigating wrongful convictions.  Mr. Kahn graduated summa cum laude from Cornell University and cum laude from Harvard Law School.


Greta Lichtenbaum is a partner in the Washington, DC office of O’Melveny and Myers LLP. Greta has been advising clients on anti-corruption compliance for over two decades, and has worked with clients in a range of business sectors, including defense, energy, finance, high-tech, and pharmaceuticals. 

As the U.S. Government’s expectations concerning FCPA compliance programs have increased, Greta has worked closely with clients as they enhance and refine their compliance mechanisms to mitigate corruption risk. In addition to the FCPA, she has deep experience in the area of economic sanctions and export control laws. Greta has often been asked to develop parallel compliance mechanisms to mitigate both anti-corruption and trade controls risks, and understands how these areas of risk inter-relate. 

Greta has been recognized by The Legal 500, Chambers USA, and Chambers Global. She is a frequent speaker on legal issues at business groups and bar associations.

Greta earned her J.D. from Harvard University in 1990.



Jason Jones is a partner at King & Spalding in Washington, D.C., where he is a member of the Special Matters and Government Investigations Practice Group. Jason has broad international experience, including recent cross-border investigations into FCPA, money laundering, racketeering, and securities violations around the world.

Jason returned to the firm in January 2015 after nearly a decade as a federal prosecutor. Most recently, he served as Assistant Chief of the FCPA Unit in the Fraud Section of the Department of Justice. In that capacity, he was responsible for managing the investigation and prosecution of companies and their employees for bribing foreign officials around the world. Prior to his service in Washington, Jason was an Assistant U.S. Attorney in the Eastern District of New York for several years, most recently serving as Chief of the Violent Crimes & Terrorism Section.


Jay Holtmeier is a partner in Wilmer Cutler Pickering Hale and Dorr LLP’s Litigation/Controversy Department, and a member of the Investigations and Criminal Litigation Practice Group. He co-leads the firm's Foreign Corrupt Practices Act and Anti-Corruption Group. He joined the firm in 2004.

Mr. Holtmeier's breadth of experience as a litigator includes service as a federal prosecutor, a senior in-house attorney and a lawyer in private practice. Mr. Holtmeier represents institutions and individuals in complex government and internal investigations and matters of corporate governance and compliance. He has particular expertise in matters involving the Foreign Corrupt Practices Act (FCPA).

In FCPA matters, Mr. Holtmeier has represented clients in government and internal investigations involving conduct in Europe, Asia, the Middle East, Africa, Latin America and Australia. He regularly counsels clients facing difficult FCPA issues in a variety of business contexts, and he has assisted clients in numerous industries in developing and implementing FCPA compliance programs. He devotes substantial attention to advising clients on FCPA problems that arise in the context of mergers and acquisitions, joint ventures and other corporate transactions. He writes and speaks extensively on the subject and is a co-author, with partners Roger Witten, Kimberly Parker, and Erin Sloane, of the leading treatise in the field, Complying with the Foreign Corrupt Practices Act (9th ed. 2016).

As a senior vice president and principal legal counsel with the Reuters Group, Mr. Holtmeier was responsible for all litigation and compliance matters in North and South America. As an assistant US Attorney for the Southern District of New York, he tried several cases to verdict and led extensive grand jury investigations of various crimes, including racketeering, securities fraud, murder, narcotics and counterfeiting. Significant prosecutions included United States v. Jose Muyet, et al., and United States v. Ronald Ocasio, et al., related cases involving more than twenty murders, for which Mr. Holtmeier received the Director's Award for Superior Performance from the Executive Office for US Attorneys, and United States v. Carol Bayless, which received national attention and calls for the impeachment of the presiding US District Judge.

 


Jordan A. Thomas concentrates his practice on investigating and prosecuting securities fraud on behalf of whistleblowers and institutional clients. As Chair of the Firm's Whistleblower Representation practice, Jordan protects and advocates for whistleblowers throughout the world who have information about possible violations of the federal securities laws. He created, and serves as the editor for, www.secwhistlebloweradvocate.com, a website dedicated to helping responsible organizations establish a culture of integrity and courageous whistleblowers to report possible securities violations-without personal or professional regrets.

A longtime public servant and seasoned trial lawyer, Jordan joined Labaton Sucharow from the Securities and Exchange Commission where he served as an Assistant Director and, previously, as an Assistant Chief Litigation Counsel in the Division of Enforcement. He had a leadership role in the development of the SEC Whistleblower Program, including leading fact-finding visits to other federal agencies with whistleblower programs, drafting the proposed legislation and implementing rules and briefing House and Senate staffs on the proposed legislation. He is also the principal architect and first National Coordinator of the Commission's Cooperation Program, an initiative designed to facilitate and incentivize individuals and companies to self-report securities violations and participate in its investigations and related enforcement actions. In recognition of his important contributions to these national initiatives, while at the SEC, Jordan was a recipient of the Arthur Mathews Award, which recognizes "sustained demonstrated creativity in applying the federal securities laws for the benefit of investors," and, on two occasions, the Law and Policy Award.

Throughout his tenure at the SEC, Jordan was assigned to many of its highest-profile matters such as those involving Enron, Fannie Mae, UBS, and Citigroup. He successfully investigated, litigated and supervised a wide variety of enforcement matters involving violations of the Foreign Corrupt Practices Act, issuer accounting fraud and other disclosure violations, audit failures, insider trading, market manipulations, offering frauds, and broker-dealer, investment adviser and investment company violations. His cases resulted in monetary relief for harmed investors in excess of $35 billion.

Prior to joining the Commission, Jordan was a Trial Attorney at the Department of Justice, where he specialized in complex financial services litigation involving the FDIC and Office of Thrift Supervision. He began his legal career as a Navy Judge Advocate on active duty and continues to serve as a senior officer in its Reserve Law Program. Earlier, Jordan worked as a stockbroker.

Jordan is a board member of the City Bar Fund, which oversees the City Bar Justice Center, the pro bono affiliate of the New York City Bar Association. He also serves as the Chair of the Investor Rights Committee of the District of Columbia Bar.

Throughout his career, Jordan has received numerous awards and honors. Most recently, Jordan was named a 2015 Top Thought Leaders in Trust by Trust! Magazine and a 2014 Superstar by Corporate Responsibility Magazine. In 2012, he was named a Legal Rebel by the American Bar Association Journal in recognition of his trailblazing efforts in the legal field. Ethisphere Institute, an internationally recognized think tank, selected Jordan as a Rising Star in its listing of 2012 Attorneys Who Matter, which recognizes leading practitioners in the world of corporate ethics and compliance. While at the SEC, Jordan received four Chairman's Awards, four Division Director's Awards and a Letter of Commendation from the United States Attorney for the District of Columbia. He is also a decorated military officer, who has twice been awarded the Rear Admiral Hugh H. Howell Award of Excellence-the highest award the Navy can bestow upon a reserve judge advocate. Jordan has received an AV Preeminent rating, the highest attorney rating available, from the publishers of the Martindale-Hubbell legal directory.

Jordan is a nationally sought after writer, speaker and media commentator on securities enforcement, corporate ethics, and whistleblower issues.


Karen A. Popp is the Global Co-Leader of Sidley Austin’s White Collar Practice. Karen has an expansive practice representing companies and individuals in high-profile matters with legal, political and public relations components, such as corporate criminal defense, internal investigationsSEC EnforcementCongressional investigations, OIG and State Attorney General actions, corporate compliance, and litigation.  Chambers Global and Chambers USA recognize her as a leader in the practice area of FCPA/anti-corruption.

Karen represents corporate clients across a host of industries, as well as senior executives and government officials, including a U.S. Presidential Cabinet Member.  She has been retained to lead confidential worldwide internal investigations and defend numerous clients in government investigations.  Karen has extensive experience in FCPA and other anti-corruption matters and has represented clients in investigations in more than 70 countries around the world.

Karen also assists clients in designing and enhancing corporate compliance and ethics programs, and currently serves as outside counsel to several corporate compliance departments. She has conducted global compliance and risk assessments for numerous U.S. and non-U.S. companies. Karen helps companies to respond to internal allegations of wrongdoing, conducts training for Boards of Directors, management, compliance departments and other company personnel, and conducts compliance due diligence regarding corporate acquisitions, joint ventures and other business transactions.   

Before joining Sidley, Karen served in the government as Associate White House Counsel to President Clinton, a lawyer in the Office of Legal Counsel at the U.S. Department of Justice, and Assistant U.S. Attorney in the Eastern District of New York.  She began her career on Wall Street as a litigator at Sullivan & Cromwell after finishing a clerkship for the Honorable Sam J. Ervin III on the U.S. Court of Appeals for the Fourth Circuit.

In additional to Chambers, Karen has been recognized for her White Collar and FCPA practice in Legal 500 US, Benchmark Litigation Star, Global Investigation Review, Who’s Who in Business Crime Defense Lawyers, International Who’s Who of Investigations, The Best Lawyers in America, Washingtonian magazine “Top Lawyers” List, Top 250 Women in Litigation USA, Top 50 Women Lawyers in Washington, D.C., Ethisphere Attorneys Who Matter, Inside Counsel Magazine Leadership Award, and Super Lawyers magazine. 


Karen Moore is the Global Compliance Officer at Inchcape Shipping Services, a logistics services company with over 300 offices worldwide.   Reporting to the group CEO, she is responsible for the design and implementation of the company’s global compliance program.   A member of the New York bar, she started her law career clerking for the Hon. Thomas J. Aquiline Jr. at the US Court of International Trade, after which she spent several years in private practice with a global law firm.  Mrs. Moore then held various positions over fifteen years with Philip Morris International, including Vice President Compliance.  Mrs. Moore joined Inchcape from Nasdaq, where she was Associate General Counsel.   A graduate of Middlebury College and Emory University School of Law, Mrs. Moore has worked in Moscow and Lausanne, Switzerland.  She is currently based in the Washington DC metro area.

Linked in bio can be found at:

https://www.linkedin.com/in/karen-moore-97264660/


Kathryn Cameron Atkinson is the Chair of the International Department and a member of the firm’s Executive Committee. Her practice focuses on international corporate compliance, including, in particular, the Foreign Corrupt Practices Act (FCPA), as well as export controls and economic sanctions, and anti-money laundering laws. She advises clients on corruption issues around the world. This advice has included compliance with the FCPA and related laws and international treaties in a wide variety of contexts, including transactional counseling, formal opinions, internal investigations, enforcement actions by the U.S. Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) and resulting monitorships, as well as commercial litigation raising improper payment issues. Ms. Atkinson served as the government-appointed Independent Compliance Monitor for KBR, Inc. in an FCPA matter settled with the DOJ and SEC. She was a member of the original Transparency International task force that developed a compliance toolkit for small and medium-sized entities. She co-produced, with Homer E. Moyer, Jr., "Comply But Compete," a versatile, video-based FCPA training program.

On the compliance side of the practice, Ms. Atkinson focuses in particular on the design and implementation of custom-tailored international regulatory compliance programs for large and small companies in a wide range of industries.  Her compliance practice includes performing compliance due diligence in mergers and acquisitions, designing and performing compliance audits and assessments, training company personnel and third parties, and working with companies to design tailored safeguards in complex business transactions and relationships with third parties.


Nancy Kestenbaum, a partner in Covington's New York office, is Co-Chair of Covington’s White Collar Defense and Investigations Practice Group. She represents companies, boards of directors and individuals in a variety of white collar criminal, SEC and regulatory enforcement matters and internal investigations.  Ms. Kestenbaum has extensive experience representing clients in the financial services, life sciences, energy, defense, consumer products and technology industries.  

Ms. Kestenbaum is also widely recognized as a leading expert involving claims of sexual misconduct.   For example, she is currently conducting an independent investigation for the Board of Directors of CBS Corporation and represents the United States Olympic Committee; Ms. Kestenbaum previously conducted independent investigations for Choate Rosemary Hall, the Brearley School, and other institutions.

Before joining Covington, Ms. Kestenbaum served for nine years as a federal prosecutor in the United States Attorney’s Office for the Southern District of New York, where she investigated and prosecuted numerous cases including securities fraud, tax offenses, bank fraud, money laundering, obstruction of justice, civil rights violations, bribery and perjury, and served as Chief of the General Crimes Unit and Deputy Chief of the Criminal Division, where she supervised and trained dozens of other prosecutors.

 


Nathaniel Edmonds serves as the Chair of the firm's litigation practice in Washington, D.C, which houses over 80 lawyers handling a variety of litigation matters, including intellectual property and patent litigation, international arbitration, sanctions and export controls, antitrust, white collar crime, anti- corruption compliance and internal corporate investigations.

Mr. Edmonds focuses on global internal investigations, specializing in anti- corruption matters and the challenges arising from multi-jurisdictional investigations into complex economic crime.  As a former Assistant Chief of the Foreign Corrupt Practices Act (FCPA) Unit of the Fraud Section in the Criminal Division of the Department of Justice (DOJ), Mr. Edmonds assisted in the supervision of all FCPA cases in the United States and was one of the principal drafters of A Resource Guide to the U.S. Foreign Corrupt Practices Act, published in November 2012 by the DOJ and the Securities and Exchange Commission (SEC), available at http://www.justice.gov/criminal/fraud/fcpa/guide.pdf. Mr. Edmonds also specializes in anti-corruption compliance risk assessments and due diligence, as well as developing and overseeing compliance programs.

During his nearly ten years as a federal white collar prosecutor, Mr. Edmonds handled numerous complex economic criminal investigations and jury trials, including the FCPA and export control-related conviction of a major aerospace and defense contractor, the fraud and domestic corruption matters associated with lobbyist Jack Abramoff, and various accounting and securities fraud matters. During his tenure at the Department of Justice, Mr. Edmonds worked with prosecutors, law enforcement and regulators from six continents on corruption matters, including with the UK’s Serious Fraud Office and as a member of the U.S.-China Joint Liaison Group’s Anti-Corruption Working Group.

Practice Areas

Anti-corruption and FCPA Securities Litigation Litigation

Investigations and White

Collar Defense

Admissions

Illinois Bar

District of Columbia Bar

Education

University of Chicago Law

School, J.D., 2002

Princeton University, A.B., 1995


Neil Smith is a partner in the firm’s Boston office, where he is member of the Investigations, Enforcement and White collar practice group.  His practice focuses on government investigations, securities enforcement, internal investigations, financial regulatory enforcement, and white collar defense.  In particular, he has extensive experience conducting global investigations involving violations of the Foreign Corrupt Practices Act and other anti-corruption laws. 

Mr. Smith represents corporations and individuals in a wide range of criminal and civil matters, including investigations conducted by the U.S. Department of Justice and Securities and Exchange Commission, and other federal and state criminal and civil regulatory authorities.  His practice also involves counseling clients on best practices and risk mitigation strategies in securities regulation, anti-corruption policies, and FCPA compliance. 

Prior to joining the firm, Mr. Smith served as senior counsel in the Enforcement Division of the U.S. Securities and Exchange Commission (“SEC”) for more than six years, where he was a member of the SEC’s Foreign Corrupt Practices Act specialized unit.  He is a recognized expert in FCPA enforcement and a frequent speaker at industry conferences.  His experience includes extensive collaboration with U.S. and foreign criminal and regulatory authorities in complex, cross-border investigations.  While at the SEC, Mr. Smith also had extensive experience investigating financial services firms and other companies for violations including securities fraud, investor misrepresentations, and marketing violations.  In 2017, he was the recipient of the Ferdinand Pecora Award for tenacity, creativity and efficiency under difficult circumstances, and the Director of Enforcement Award for outstanding service in 2016.

Mr. Smith earned his J.D. summa cum laude from Boston College Law School and B.A. from Dartmouth College. 


Patrick F. Stokes is a litigation partner in Gibson, Dunn & Crutcher's Washington, D.C. office. He is a member of the firm's White Collar Defense and Investigations, Securities Enforcement, and Litigation Practice Groups.

Mr. Stokes' practice focuses on internal corporate investigations, compliance reviews, government investigations, and enforcement actions regarding corruption, securities fraud, and financial institutions fraud. He has tried more than 30 federal jury trials as first chair, including high-profile white-collar cases, and handled 16 appeals before the U.S. Court of Appeals for the Fourth Circuit. Mr. Stokes is equally comfortable leading confidential internal investigations, negotiating with government enforcement authorities, or advocating in court proceedings.

Prior to joining Gibson Dunn, Mr. Stokes spent nearly 18 years with the U.S. Department of Justice (DOJ). From 2014 to 2016 he headed the FCPA Unit, managing the DOJ's FCPA enforcement program and all criminal FCPA matters throughout the United States, covering every significant business sector, and including investigations, trials, and the assessment of corporate anti-corruption compliance programs and monitorships. Mr. Stokes also served as the DOJ's principal representative at the OECD Working Group on Bribery working with law enforcement and policy setters from 41 signatory countries on anti-corruption enforcement policy issues.

From 2010 to 2014, he served as Co-Chief of the DOJ's Securities and Financial Fraud Unit. In this role, he oversaw investigations and prosecutions of financial fraud schemes involving accounting fraud, benchmark interest rate manipulations, insider trading, market manipulation, Troubled Asset Relief Program (TARP) fraud, government procurement fraud, and large-scale mortgage fraud, among others.

From 2002 to 2008, Mr. Stokes served as an Assistant United States Attorney in the Eastern District of Virginia, where he prosecuted a wide variety of financial fraud, immigration, and violent crime cases. From 1998 to 2002, he served in the DOJ's Tax Division as a trial attorney in the Western Criminal Enforcement Section.

Mr. Stokes received various awards while at the DOJ, including the Attorney General's Distinguished Service Award in 2013 and 2014 and the Assistant Attorney General's Exceptional Service Award (Criminal Division) in 2011 and 2014.

Mr. Stokes received his bachelor's degree and Juris Doctor from the University of Virginia, where he was an editorial board member of the Virginia Journal of Social Policy and the Law.

Mr. Stokes is admitted to practice in the District of Columbia, the District of Maryland, the Eastern District of Virginia, the Western District of Washington, and the Fourth Circuit.


Pedro A. Medrano is an Assistant General Counsel in the Legal Department of Warner Media, LLC (“WarnerMedia”).  In this role, Mr. Medrano helps oversee the compliance function at WarnerMedia and its Divisions (HBO, Turner, Warner Bros., and Otter Media), as well as manages litigations and regulatory matters.

Prior to joining WarnerMedia, Mr. Medrano served as Senior Counsel, Managing Director in the Enforcement and Investigations Division of the Legal Department of The Bank of New York Mellon, where he was responsible for conducting internal investigations regarding significant legal, regulatory, and criminal matters, as well as responding to non-routine regulatory inquiries from various governmental and regulatory bodies.  While at BNY Mellon, Mr. Medrano handled BNY Mellon’s response to the SEC’s industry-wide FCPA probe of financial firms’ interactions with sovereign wealth funds.

Mr. Medrano began his legal career at Wilmer Cutler Pickering Hale and Dorr LLP.  During his tenure at WilmerHale, Mr. Medrano represented clients in white-collar criminal matters, internal investigations, and securities enforcement matters.  He also counseled clients in numerous industries on a variety of challenging anti-corruption concerns, including due diligence in cross-border mergers and acquisitions; performed internal anti-corruption compliance risk assessments; advised clients in developing effective global anti-corruption compliance programs and policies; and conducted anti-corruption training.  

Mr. Medrano is also a member of the Board of Directors of the City Bar Fund, the nonprofit 501(c)(3) arm of the New York City Bar Association.  He is also a veteran of the U.S. Army Reserve.


Philip Urofsky is head of the global anti-corruption practice at Shearman & Sterling LLP, where he counsels Boards, companies, and individuals concerning  government investigations, internal investigations, and compliance controls with respect to the Foreign Corrupt Practices Act, financial sanctions regulations, and other white collar laws and regulations.   Formerly the lead FCPA trial attorney at the Department of Justice, he was responsible for many FCPA investigations and prosecutions, helped negotiate the Council of Europe and OECD Conventions and was designated as the U.S. expert for the OECD Working Group on Bribery’s peer review process, and was the principal drafter of the DOJ’s Federal Principles of Corporate Prosecution (the “Holder Memo”) (although he disclaims any responsibility for what the government did with it afterwards).  Mr. Urofsky writes and speaks widely on topics related to the design and implementation of compliance programs and sanctions and anti-corruption enforcement trends and patterns. 


PRACTICE AREAS

MS. LIN SPECIALIZES IN DISPUTES RESOLUTION, THROUGH LITIGATION, ARBITRATION TO INVESTIGATION AND COMPLIANCE MATTERS.

Commercial Dispute Resolution (Litigation & Arbitration)

  • Advised one of the world’s leading investment firms in connection with disputes between general partners and limited partners in a PE investment.
  • Advised a leading global bank in a dispute with its clients regarding asset management.
  • Advised several China-based U.S. listed companies and their senior executives in relation to securities lawsuits before U.S. courts.
  • Defended the receiver of Lehman Brothers (Europe) in the Chinese court proceedings relating to its role in structuring certain financial derivatives in the amount of approximately U.S. $ 200 million.
  • Defended a Big 4 accounting firm in a series of securities fraud cases against around 130 plaintiffs before Chinese courts.
  • Defended a Big 4 accounting firm in (i) a tort action in relation to professional negligence in tax consulting service; and (ii) a lawsuit in relation to the performance of audit engagement.
  • Represented a European client, in relation to the enforcement of an ICC arbitral award in China, a groundbreaking case in which China’s Supreme People’s Court for the first time invoked the “public policy ground” under the New York Convention to refuse enforcement of a foreign arbitral award.
  • Represented an Israeli company in the Chinese court proceedings for the enforcement of an ICC arbitral award.
  • Represented a U.S. company in the Chinese court proceedings for the enforcement of an SCC arbitral award.
  • Represented a PRC investor in ICC arbitration in Hong Kong in relation to a US$100 million dispute arising from a share purchase agreement and in ancillary court proceedings relating to injunctive orders.
  • Represented a significant PRC computer manufacturer in an arbitration case in Hong Kong in accordance with the UNCITRAL Arbitration Rules regarding a dispute over the supply of computer equipment.
  • Represented the founders of a company in an arbitration case regarding an investment dispute in accordance with the HKIAC Administered Arbitration Rules.
  • Represented a US-based company in CIETAC arbitration in relation to a US$30 million dispute concerning certain distribution agreements.
  • Assisted in several arbitration cases regarding certain contractual disputes in accordance with the HKIAC Administered Arbitration Rules.

Investigation and Compliance

  • Advised the “Big 4” accounting firms in connection with administrative proceedings initiated by the US Securities and Exchange Commission, and various matters concerning cross-border regulatory investigation.Advised on Chinese law issues related to state secrecy and cross-border data production.
  • Advised several China-based U.S. listed companies in relation to investigations initiated by U.S. regulators.Advised on Chinese law issues related to state secrecy, data privacy and cross-border data production.
  • Advised an accounting firm in the administrative investigation proceedings before the China Securities Regulatory Commission.
  • Advised an investment institution in relation to its cooperation with Chinese regulatory investigation regarding securities and futures trading.
  • Advised a multinational company in an investigation initiated by the Chinese police in relation to data privacy violations.
  • Advised an international legal service provider on its global data privacy policy.
  • Advised a “Fortune 500”company in an internal investigation of potential violation of the Foreign Corrupt Practices Act and advised the client on the Chinese anti-corruption, state secrecy and privacy laws.
  • Worked as Seconded Legal Counsel in a PRC subsidiary of a US pharmaceutical group. Advised on PRC-law-related compliance issues under the US Foreign Corrupt Practices Act.
  • Advised a US-based pharmaceutical company in the anti-bribery investigation initiated by local Administration of Industry and Commerce of PRC.

Other Information?

Education

  • Columbia University, LL.M.: James Kent Scholar
  • University of Hong Kong, MCL: Lee Shiu Scholar Peking University, LL.B.: Honors; President (2003-04), Peking University Law School Students' Union
  • Peking University, B.Ec., Economics

Professional Qualification

  • Admitted to practice in the PRC
  • Qualified to practice in the State of New York

Publication

  • The Development of "Competence/Competence" in China with the Promulgation of the New Rules of China International Economic and Trade Arbitration Committee, Arbitration & Law (January 2006)

Languages, Mandarin; Cantonese; English

Professional Background

  • Ms. Lin had worked with a top-tier UK firm and a leading U.S. law firm.


Richard N. Dean is the Managing Partner of the Washington, D.C. office of the international law firm of Baker & McKenzie LLP.

Mr. Dean specializes in the U.S. Foreign Corrupt Practices Act (FCPA) and related legislation, including U.S. money laundering laws and their application to the activities of U.S. companies in emerging markets. He advises on the structuring of foreign investment transactions to comply with U.S. laws; supervises the conduct of internal investigations and audits to determine compliance with laws and regulations, including the Sarbanes-Oxley Act; and advises senior management and corporate audit committees on the consequences of such investigations and audits, including the development of appropriate defenses, disclosures, disciplinary actions and compliance policies.   His practice includes representing multinational companies before the U.S. Department of Justice and the Securities and Exchange Commission in connection with FCPA and related matters.

Mr. Dean has conducted investigations into possible FCPA violations in a variety of high risk emerging markets, such as Russia, Ukraine and other CIS countries, West Africa, the Middle East, China, India, South America and Indonesia and has advised multinational companies on structuring transactions with distributors, dealers, joint venture partners and charitable institutions.


Richard S. Levick, Esq. is Chairman & CEO of LEVICK, representing countries and companies in the highest-stakes global communications matters – from the Wall Street crisis and the Gulf oil spill to Guantanamo Bay and the Catholic Church. LEVICK is the communications firm of choice for international companies with critical Western-facing communications and public affairs needs.

Mr. Levick was honored multiple times on the prestigious list of “The 100 Most Influential People in the Boardroom” and has been named to multiple professional Halls of Fame for lifetime achievement.

He is the co-author of four books including The Communicators: Leadership in the Age of Crisis and is a regular commentator on television and print.


Richard W. Grime is a litigation partner in the Washington office of Gibson, Dunn & Crutcher’s Washington, DC office and a member of the White Collar Defense and Investigations Practice Group and the Securities Enforcement Practice Group. 

Mr. Grime’s practice focuses on representing companies and individuals in corruption, accounting fraud, and securities enforcement matters before the Securities and Exchange Commission and the Department of Justice.  Mr. Grime also conducts internal investigations and counsels clients on compliance and corporate governance matters with a particular focus on corruption investigations.

Prior to joining Gibson Dunn, Richard spent over nine years in the Division of Enforcement at the Securities and Exchange Commission in Washington, DC.  In his last four years at the Commission he was an Assistant Director. Mr. Grime is currently highly ranked in Chambers USA Nationwide FCPA and Chambers Global FCPA and was recently selected by his peers for inclusion in The Best Lawyers in America© 2016 in the field of Criminal Defense: White Collar.  He is also a longstanding and frequent speaker to legal and industry practitioners particularly on anti-corruption and securities enforcement topics.

Mr. Grime received his law degree from Oxford University.


Tom Hanusik is a partner in Crowell & Moring's White Collar & Regulatory Enforcement Group, which Law360 recognized as a "White Collar Group of the Year" and an "FCPA Powerhouse." InsideCounsel identified Tom as one of the "The Best Lawyers to Call in a Worst-Case Scenario" for a white collar investigation in its "Crisis Rolodex" and he was included on SecuritiesDocket's inaugural "Enforcement 40" list of the top SEC Enforcement attorneys. Tom is Chambers ranked in white collar & government investigations and has been recognized consistently in The Best Lawyers in America for white-collar criminal defense and securities regulation.

Tom's practice focuses on DOJ white-collar defense, SEC Enforcement, FINRA Enforcement and internal investigations. Tom leads internal investigations on behalf of companies, boards of directors and board committees, and he advises corporate clients on remedial measures, compliance programs and training. His recent engagements have focused on allegations of financial fraud, insider trading, FCPA violations, AML controls, federal and state tax offenses, public corruption, U.S. export controls and sanctions regulations.


A partner in the Litigation Department, Mark Mendelsohn is co-chair of the Anti-Corruption & FCPA Group, and a member of the White Collar and Regulatory Defense, Internal Investigations, and Securities Litigation Practice Groups. Prior to joining Paul, Weiss, Mark served as the deputy chief of the Fraud Section of the Criminal Division of the United States Department of Justice (DOJ), and is internationally acknowledged and respected as the architect and key enforcement official of DOJ’s modern Foreign Corrupt Practices Act (FCPA) enforcement program.

Mark’s practice emphasizes white collar matters, internal corporate investigations, and compliance counseling. He regularly represents clients in FCPA and corruption-related internal investigations, designing and implementing compliance programs, transactional anti-corruption diligence, and responding to and defending against government investigations, prosecutions, and trials on behalf of both business entities and individuals.

As deputy chief of the Fraud Section from 2005 to 2010, Mark was responsible for overseeing all DOJ investigations and prosecutions under the FCPA, and for supervising a team of trial attorneys with respect to investigations and prosecutions of a wide variety of federal white collar crimes including money laundering, mail and wire fraud, procurement fraud, Arms Export Control Act and International Traffic in Arms Regulations (ITAR) violations, and violations of economic and trade sanctions laws and regulations, including with respect to the United Nations Oil for Food Program. During his tenure, Mark handled hundreds of voluntary disclosures of illicit corporate payments, worked closely with attorneys in the Division of Enforcement at the U.S. Securities and Exchange Commission, helped establish and worked closely with the Federal Bureau of Investigation’s FCPA squad at the Washington Field Office, negotiated numerous corporate plea, deferred and non-prosecution agreements on behalf of DOJ, and participated in the appointment of, interaction with, and reporting by more than 16 corporate compliance monitors. Mark led an effort to forge closer working relationships with foreign regulators in connection with transnational bribery cases, resulting in coordinated settlements with the Munich Public Prosecutor in Germany in the Siemens prosecutions and coordinated settlements with the U.K.’s Serious Fraud Office in the BAE and Innospec prosecutions, among others. Mark was also responsible for  administering DOJ’s FCPA Opinion Release Procedure, including issuing the seminal opinion on FCPA transactional diligence and successor liability (Op. Rel. 08-02).

In addition to case-related responsibilities, Mark had significant policy responsibilities, including principal policy responsibilities related to the Organisation for Economic Co-operation and Development (OECD) Anti-bribery Convention. As a member of the U.S. delegation to the OECD Bribery Working Group, Mark served as a lead examiner for the follow-up review of Japan’s implementation of the OECD Anti-bribery Convention, played a key role in peer review of the United Kingdom including consultation regarding its Bribery Act of 2010, negotiated the 2009 Anti-Bribery Recommendation, and played a leading role in the drafting and adoption of the OECD’s “Good Practice Guidance on Internal Controls, Ethics and Compliance.”

During his tenure administering the DOJ’s FCPA enforcement program, the DOJ brought more than 50 prosecutions against corporations for violations of the FCPA and related offenses, resulting in more than $1.5 billion in criminal penalties. During that same period, DOJ brought approximately 80 prosecutions against individuals. Among the notable prosecutions were the following: U.S. v. Siemens AG, et al.; U.S. v. Kellogg Brown & Root, LLC and U.S. v. Albert “Jack” Stanley; U.S. v. Congressman William J. Jefferson; U.S. v. BAE Systems plc; U.S. v. Baker Hughes, et al.; U.S. v. Titan Corp.; U.S. v. Statoil ASA; U.S. v. Monsanto; Lucent Technologies, Inc.; U.S. v. Willbros Group, Inc., et al.; U.S. v. Christian Sapsizian, et al.; U.S. v. Viktor Kozeny and Frederick Bourke, Jr.; U.S. v. Gerald and Patricia Green; U.S. v. Innospec, Inc.; and U.S. v. Daimler AG.

Prior to joining the Fraud Section, Mark was senior counsel in the DOJ’s Computer Crime and Intellectual Property Section in Washington, D.C., and prior to that served for nearly six years as an assistant U.S. attorney in the U.S. Attorney’s Office in the Southern District of New York. During his service with the U.S. Attorney’s Office, Mark tried numerous cases to verdict and argued several appeals before the United States Court of Appeals for the Second Circuit. As a federal prosecutor, Mark was a recipient of the Attorney General’s Award for Distinguished Service for the “Investigation into Corrupt Payments by Siemens AG,” and a recipient of the Assistant Attorney General’s Award for “The Safeguarding and Maintenance of Confidence in the American Marketplace.” Mark has been recognized by Ethisphere Institute in 2011 as a “Top Gun” among “Attorneys Who Matter,” in 2009 as a “Government Star” among “Attorneys Who Matter In Corporate Compliance,” and in 2007 and 2008 as one of the “100 Most Influential People in Business Ethics.” Mark has been selected to Lawdragon “500 Leading Lawyers in America” numerous times. Mark is also ranked by Chambers for his work as an FCPA practitioner.

Mark has spoken frequently as a faculty member, panelist and keynote speaker at numerous FCPA, anti-corruption, corporate compliance, securities fraud, money laundering, and white collar crime programs and conferences. He teaches International Criminal Law as a visiting professor at the University of Virginia School of Law and has also been an adjunct lecturer-in-law at Columbia Law School. Mark is member of the Edward Bennett Williams Inn of Court and a member of the Board of Directors of Transparency International-USA.


Sulaksh is a partner in PwC's Forensic Services Practice in Washington D.C. and the co-leader of their Investigations practice.

Sulaksh has approximately 16 years of public accounting experience.  His practice focusses on anti-corruption/FCPA matters, including internal investigations, compliance programs, and due diligence.  Sulaksh has represented clients before the United States Department of Justice as well as the Securities and Exchange Commission.

Sulaksh has worked on anti-corruption/FCPA matters in Africa, Asia, Latin America, Europe and the Middle East.  In particular, he has anti-corruption/FCPA experience in pharmaceutical/medical products, manufacturing, industrial products, retail and consumer, hospitality, and the oil and gas industry.

He frequently speaks on anti-corruption/FCPA topics and has been a featured speaker at national and international conferences, including American Conference Institute events.  Sulaksh has instructed at various universities, including but not limited to Georgetown Law School, University of Virginia, University of Missouri, and DePaul University.

From 1998 through 2001, Sulaksh assisted the Kuwait Public Authority for Assessment of Compensation for Damages Resulting from Iraqi Aggression (PAAC) in preparing claims for the Government of Kuwait, which arose from the Iraqi invasion, totaling to USD 131 billion for submission to the United Nations Compensation Commission.

Sulaksh is a licensed Certified Public Accountant (CPA) in Illinois and Virginia.  He is also a Certified Fraud Examiner, and Certified in Financial Forensics (CFF).  Sulaksh is a Bachelor of Commerce from the University of Mumbai, India.  He is also an associate (non-lawyer) member of the American Bar Association’s Criminal Justice and International Law sections.

Sulaksh is also a Board Member of MATHCOUNTS, a 501 (c) 3 tax-exempt organization that promotes middle school mathematics achievement through grassroots involvement in every U.S. state and territory.


With more than a dozen years of experience focused on white-collar cases, Charles Duross has overseen FCPA investigations relating to business in more than 50 countries around the world.  His practice is focused on white-collar criminal matters, including internal corporate investigations, compliance counseling, due diligence regarding third parties and business transactions, and defense of clients before government enforcement agencies. In addition, as a veteran trial attorney, Chuck has a proven track record in the courtroom in high-profile, high-stakes trials.

As the former Deputy Chief in the Fraud Section in the Criminal Division of the U.S. Department of Justice, Chuck led the FCPA Unit and was in charge of all of the DOJ’s FCPA investigations, prosecutions and resolutions in the United States. In that role, Chuck was internationally recognized for developing and implementing the government’s FCPA enforcement strategy and was widely credited with developing the current enforcement regime. Under his leadership, the FCPA Unit resolved more than 40 corporate cases resulting in approximately $1.9 billion in monetary penalties, and secured convictions of more than two dozen business executives and money launderers.

Once dubbed “Mr. FCPA,” Chuck has been repeatedly recognized by the Ethisphere Institute’s “Attorneys Who Matter” list, including most recently as a “Top Gun” based upon his expertise and experience. He has also been recognized by Chambers USA, Law360, The Legal 500 US, the Washington Post and the Washington Business Journal for his work on FCPA matters.

Chuck is an adjunct professor at Georgetown University Law Center where he teaches trial advocacy, and he has been a guest lecturer on foreign corruption issues at Harvard Law School’s Program on the Legal Profession, the University of Michigan’s Law School and Ross School of Business, and Fordham Law’s Louis Stein Center for Law and Ethics.


Bruce Yannett is Deputy Presiding Partner of the firm and Chair of the White Collar & Regulatory Defense Practice Group. He focuses on white collar criminal defense, regulatory enforcement and internal investigations. He represents a broad range of companies, financial institutions and their executives in matters involving securities fraud, accounting fraud, foreign bribery, cybersecurity, insider trading, and money laundering. He has extensive experience representing corporations and individuals outside the United States in responding to inquiries and investigations.

Chambers Global 2019 recognizes Mr. Yannett as a Band 1 practitioner for FCPA matters, and Chambers USA 2018 recognizes Mr. Yannett as a Band 1 practitioner for both white collar criminal defense and FCPA matters. Clients praise his work as “excellent” and describe him as a “very strong communicator and litigator” and a “leading light in the field,” noting that “he has real gravitas about him,” giving him the “immediate respect of everybody in the room.” In a similar vein, The Legal 500 US calls him a “superstar,” Lawdragon recognizes him as one of the 500 leading lawyers in America, and Benchmark Litigation names him a “Litigation Star.” Further, in selecting Debevoise as “Litigation Department of the Year” in 2014, The American Lawyer stated that Mr. Yannett’s work on the groundbreaking Siemens FCPA internal investigation, which spanned 34 countries, and settlement with U.S. and German authorities, “cemented his credibility with regulators” on subsequent matters.

He is a member of the American Law Institute. Mr. Yannett is on the Board of Advisors for the New York University Program on Corporate Compliance and Enforcement.

Early in his career, Mr. Yannett served in the Office of Independent Counsel:  Iran/Contra and as an assistant United States attorney.




Charles Cain is the Chief of the Foreign Corrupt Practices Act Unit within the Securities and Exchange Commission’s Division of Enforcement. He has been in the SEC’s FCPA Unit since its formation in 2010 and with the Division of Enforcement for nineteen years. As the Chief, his roles include oversight of the National FPCA program, coordination with domestic and foreign law enforcement, and supervision of individual investigations. During his tenure with the SEC, he has also been responsible for numerous significant cases in other areas including financial fraud, insider trading, offering fraud, market manipulation, disclosure fraud, and broker dealer practices. Mr. Cain is a graduate of The George Washington University Law School.


James J. Benjamin Jr., a leader of Akin Gump’s securities enforcement and litigation practice group, represents institutional and individual clients in a wide variety of government and regulatory investigations and litigation. He has served as lead counsel in numerous internal investigations and has conducted numerous jury trials. He has been recognized as a leading lawyer by Chambers USA: America’s Leading Lawyers for Business in the areas of white-collar crime and government investigations.  Before joining Akin Gump, Mr. Benjamin served for more than five years as a federal prosecutor in the U.S. Attorney’s Office for the Southern District of New York, where he served as deputy chief appellate attorney and as a member of the Securities and Commodities Fraud Task Force. Mr. Benjamin previously served as a law clerk at the U.S. Supreme Court for Justices Lewis F. Powell Jr. and John Paul Stevens. He received his A.B. magna cum laude in 1987 from Dartmouth College, where he was a member of Phi Beta Kappa, and he earned his J.D. with honors in 1990 from the University of Virginia School of Law, where he was the research and projects editor of the Virginia Law Review.


Joseph Azam is Senior Vice President & Global Chief Compliance & Ethics Officer at Infor, where he heads global compliance and oversees internal investigations. Prior to his role with Infor, Joe was Group Chief Compliance Officer at News Corp in New York. Prior to that, Joe served as SVP & Associate General Counsel, Global Anti-Bribery at London-based HSBC has held similar in-house positions at Accenture and Oracle. Joe’s compliance counseling and investigations engagements have included in-country work throughout the Americas, Europe, Asia, the Middle East and Africa. He began his practice at Willkie Farr & Gallagher LLP in New York. Joe is a graduate of the University of California, Hastings College of the Law, where he serves on the Board of Governors, and holds an M.A. and B.A. from New York University. He has been a contributor for MTV News, Ethisphere Magazine, the San Francisco Chronicle the LA Times, and Lucky Peach Magazine.


Kimberly A. Parker is a partner at Wilmer Cutler Pickering Hale and Dorr in Washington.  Ms. Parker co-leads the firm’s Foreign Corrupt Practices Act (FCPA) and Anti-Corruption Practice.  She has represented companies and individuals in a variety of FCPA enforcement matters, including defense company Armor Holdings in its July 2011 FCPA settlement involving conduct related to the United Nations, oil driller Helmerich & Payne in its July 2009 FCPA involving payments to customs officials in Argentina and Venezuela, and the Titan Corporation in its landmark 2005 FCPA case.  She has conducted internal investigations in the United States, Asia, Africa, Europe, and Latin America.  She regularly counsels clients on FCPA compliance, assists in developing and conducting FCPA training and compliance programs, and conducts anti-corruption due diligence and risk assessments.  In addition to co-authoring several articles on the FCPA, Ms. Parker is a co-author, with Roger M. Witten, Jay Holtmeier, and Erin Sloane of the firm’s New York office, of a leading treatise in the field, Complying with the Foreign Corrupt Practices Act.  Ms. Parker is ranked for FCPA work in Chambers USA: America's Leading Lawyers in Business.


Patricia M. Byrne (“Trish”) is the VP & Associate General Counsel for International Compliance at BAE Systems Inc.  In addition to managing the International Trade Licensing and Trade Compliance teams, Trish’s work involves policy administration, training on FCPA and anticorruption laws, conducting due diligence on third party business partners, merger and acquisition FCPA diligence, and Offsets compliance.  Trish joined BAE Systems Inc. as Counsel for International and Domestic Compliance in October 2008.  Prior to joining BAE Systems Inc., Trish was a Counsel at WilmerHale, in Washington D.C. where her work focused primarily on FCPA investigations, and on reviewing, creating, and implementing anti-corruption compliance programs for multinational companies.  Trish also has experience with general litigation and securities investigations.  Trish received her JD from the University of California at Berkeley, Boalt Hall School of Law, and she graduated with a BA(Hons I)/LLB from the University of Otago, Dunedin, New Zealand.


Thomas J. Koffer is the Global Head of Anti-Corruption & Economic Sanctions Compliance at Credit Suisse, where he oversees Credit Suisse’s enterprise-wide compliance program addressing the U.S. Foreign Corrupt Practices Act, the UK Bribery Act 2010, and other similar anti-corruption laws.  He also oversees compliance with economic and trade sanctions laws administered by the U.S. Office of Foreign Assets Control and other international regulators.  Previously, Thomas served as counsel at Wilmer Cutler Pickering Hale & Dorr, and as a law clerk for judges on the U.S. Second Circuit Court of Appeals and the U.S. District Court for the Southern District of New York.  Before earning a law degree, Thomas investigated political corruption matters at the New York County District Attorney’s Office.  He also previously served with the U.S. Vice President’s Domestic Policy Office.


James P. Loonam is a Deputy Chief of the Business and Securities Fraud Section for the United States Attorney’s Office, Eastern District of New York.  Mr. Loonam is responsible for leading and supervising investigations and prosecutions involving foreign corruption, securities fraud, money laundering and other white collar matters.  Mr. Loonam was the lead prosecutor for the recent FCPA case against alternative asset manager Och-Ziff, which resulted in a $213 million criminal penalty and a guilty plea to violations of the FCPA.  Mr. Loonam was also the lead prosecutor in the investigation of JPMorgan’s hiring practices in Asia, which led to a $72 million criminal penalty against the firm.  Mr. Loonam is a highly decorated prosecutor having received numerous awards for his work, including the Attorney General’s Award for Exceptional Service (DOJ’s highest award) and the Director’s Award for Superior Performance by a Litigative Team.  Mr. Loonam previously served as Deputy Chief of the Office’s Violent Crime and Terrorism Section, where he led and supervised cases involving international terrorism and sanctions violations.  Mr. Loonam prosecuted a terrorism case involving an al-Qaeda plot to bomb the New York City subway system that the Attorney General described as “one of the most serious terrorist threats to our nation since September 11, 2001.”  Mr. Loonam received his J.D. with honors from the University of Connecticut, School of Law, where he was a member of the Connecticut Law Review. 


Justin Siegel is a Vice President in the Goldman, Sachs & Co. Financial Crime Compliance  group, and manages the firm’s anti-bribery efforts in the Americas. Before joining Goldman Sachs, he was counsel with O’Melveny & Myers L.L.P., focusing on investigations, securities litigation, and antitrust matters.  Justin earned a B.A. from Yale University and a J.D. from Northwestern University Pritzker School of Law.


Nicole Friedlander is a member of the Firm’s Criminal Defense and Investigations Group and serves as co-coordinator of the Firm’s Cybersecurity Group. Ms. Friedlander’s practice focuses on white-collar criminal defense, regulatory enforcement proceedings and internal investigations. She has particular expertise in fraud, anti-money laundering, tax and cybercrime matters.

Ms. Friedlander joined the Firm in 2016 following eight years of service as an Assistant U.S. Attorney in the Southern District of New York. She was Chief of the Office’s Complex Frauds and Cybercrime Unit, where she oversaw the investigation and prosecution of sophisticated financial frauds, cybercrimes, money laundering and Bank Secrecy Act offenses, FCPA violations, criminal tax offenses and health care frauds. Ms. Friedlander personally led the successful investigation of the cyber intrusion, and largest-ever theft of customer data, at a U.S. financial institution. Ms. Friedlander also oversaw numerous investigations of offshore banks for assisting U.S. taxpayers in evading income taxes; the indictment of seven Iranians for engaging in coordinated cyberattacks on 46 financial institutions and hacking into the control systems of a New York dam, on behalf of groups sponsored by the Government of Iran; and the racketeering indictment of the owner of multibillion-dollar internet payday lending companies for usurious lending practices. In recognition of the Complex Frauds and Cybercrime Unit’s consumer protection work during her tenure, the FTC awarded the group its Criminal Liaison Unit Award in 2016.

During her tenure at the U.S. Attorney’s Office, Ms. Friedlander also successfully tried numerous federal criminal cases and briefed and argued appeals before the U.S. Court of Appeals for the Second Circuit.


Ms. Hargis was appointed Vice President, Chief Legal Officer & Secretary on January 1, 2016. Ms. Hargis joined the Company in July 2013 serving as Associate General Counsel, Corporate and Transactional and Assistant Secretary and then as Vice President, Associate General Counsel and Assistant Secretary in November 2015. Prior to joining Key, Ms. Hargis served for 7 years with U.S. Concrete, Inc., where she last served as their Vice President, General Counsel & Corporate Secretary. Ms. Hargis holds a B.S. in Administration of Justice from Arizona State University and a J.D. from Tulane University.