Corporate Monitorships

We built our firm with laser focus on government enforcement and internal investigations. Our collective expertise equips us with a balanced and thorough understanding of how to conduct an effective fact-finding inquiry in any environment or industry. Ten of our firm’s senior lawyers have served as prosecutors or enforcement attorneys at the Department of Justice (DOJ), the U.S. Securities and Exchange Commission (SEC), or the New York County District Attorney’s Office, among other agencies, giving us the unique experience needed to successfully fulfill government ordered monitor positions.

In addition, we have unique experience serving on monitorships for international businesses. Corporations based outside of the U.S. often find themselves and their internal compliance practices subject to the intense scrutiny of a “monitor” imposed by the DOJ. Our talented team of former government lawyers have the expertise and core competencies to help international business cope with the unique challenges monitorships bring to international companies.

Representative Cases

  • WMH served on the leadership team of the Independent Monitor of Höegh Autoliners, appointed in March 2018 by the U.S. Department of Justice, Antitrust Division, pursuant to plea agreement and plea to criminal conspiracy to engage in bid rigging and price fixing in the market for international shipping services for roll-on, roll-off cargo.
  • WMH was appointed to serve as the Independent Monitor for a New York branch of an international bank to, among other oversight, conduct a comprehensive review of the BSA/AML and sanctions compliance program of the bank, prepare an initial report of this review, conduct an 18-month lookback review of U.S. dollar clearing transactional activity through its local branch, and undertake a continuous monitoring program.
  • WMH served on the leadership team appointed to monitor General Motors as part of a Deferred Prosecution Agreement with the United States Attorney’s Office for the Southern District of New York following  the company’s failure to disclose a safety defect to the National Highway Traffic Safety Administration.
  • We led an anti-money laundering and economic sanctions compliance assessment of the Brazilian affiliate of a global financial institution subject to a monitorship imposed by the DOJ and U.K. Financial Conduct Authority.
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