We starts with one simple approach – be SMART: specific, measurable, actionable, result-oriented, and timed-bound.
What we do:
1. Compliance Assessment & Strategic Reviews
Is your program adequately addressing the risks you face? Is it using efficient use of resources in producing measurable results? How does it compare to your peer organizations? Does it meet regulatory and enforcement expectations?
We help companies and organizations answer these questions by conducting reviews of ethics and compliance programs and proactive risk assessments. These may range from an annual or periodic “health check” of your program performance against benchmarks, to a strategic review to identify enhancements opportunities, or a comprehensive or in-depth review of ethics and compliance risks.
In short, we will work with you to perform the level of review you need. We have experience in all levels of review, from desktop-based data reviews to site visits and stakeholder assessments, including:
- Desktop-based reviews of written materials and program data
- Assessments of board and management compliance understanding and readiness
- Single or multi-market “health checks”
- Multi-staged global assessments in coordination with forensic accounting teams in preparation for, or in hopes of avoiding, a government agency mandated monitorship
- Following an internal investigation, conduct an analysis of investigation findings to provide guidance for improvements related to program weaknesses or gaps
- Internal control analysis in coordination with a forensic analysis team
2. Building and Upgrading Ethics & Compliance Programs
Whether you are building a new ethics & compliance program, wondering whether you need one, or in the processing of upgrading or transitioning your existing program, we provide the expertise to help. We assist companies that are seeking to build or enhance their compliance capacities by helping to assess and train compliance officers and stakeholders, design and implement compliance programs and upgrades, and provide interim and outsourced compliance resources.
These projects are tailored to your needs, whether that is:
- Designing/implementing new compliance programs and policy/procedures frameworks
- Evaluating existing program to identify enhancement opportunities
- Hiring/assessing/training compliance personnel
- Designing/implementing/evaluating third-party screening and management processes
- Designing/implementing/evaluating M&A risk process
- Designing/implementing/evaluating compliance training
We deliver practical, thought-provoking, and action-inspiring ethics and compliance training for both general and specific audiences, including
- High-level presentations to boards and executive leadership teams
- Workshops for specific functions such as compliance, investigations, legal, audit, human resources, sales & marketing, safety
- Workshops for government law enforcement and regulatory agencies
- Keynotes at company events and employee town halls
We are deeply experience in working with cross-cultural audiences. Whether or not your company operates across geographical borders, today’s work forces and stakeholders come from different backgrounds: manufacturing and sales, back office and customer-facing, variety of educational backgrounds, variety of moral principles, rural and urban. Effective training requires recognition of nuanced differences in cultures and subcultures, and ability to translate across the board.
We have unparalleled experience in working with corporate monitors and we now use that experience to work with companies facing the potentials of monitorships, under monitorships, and with those interested in becoming monitors. We also work with government enforcement and regulatory agencies in developing monitorship standards and practices.
- Conduct reviews and make recommendations that may minimize your likelihood of being placed under monitorship
- Serve as your selected monitor
- Prepare you for your monitorship
- Provide you guidance throughout the monitorship process
Hui is a highly sought-after keynote speaker on topics related to ethics and compliance, and an effective and thought-provoking trainer. She speaks frequently at conferences and corporate town halls, and conducts training and outreach to corporate boards and legal and compliance stakeholders.
6. Public Sector
As former prosecutors, we are committed to assisting law enforcement, regulators, judiciary, and multilateral agencies in enhancing your capacities in investigating, prosecuting, regulating and adjudicating matters involving corporate ethics and compliance programs. We can
- Develop and refine methodologies and standards for assessing and evaluating corporate compliance programs according to your criteria
- Deliver training and provide consultation relating to corporate investigations
- Provide expert assessment and testimony relating to sufficiency of corporate compliance programs
- Design and lead outreach programs and impact assessments relating to corporate compliance programs