Our Services

 
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Transaction and Portfolio Company Support

We help clients address compliance risks that can arise in M&A activity by supporting pre-deal due diligence, post-merger integration and ongoing monitoring of portfolio company compliance programs.

 

Challenges

Many compliance failures can originate as mishandled acquisitions: key questions are unasked, red flags get overlooked and newly acquired entities are inadequately-monitored.

DOJ’s latest guidance on compliance program establishes the expectation evaluation that comprehensive due diligence has taken place on acquisition targets a process exists for “timely and orderly integration of the acquired entity into existing compliance program structures and internal controls.” In the event misconduct is discovered at an acquired entity, DOJ guides its prosecutors to scrutinize areas such as: 

  • Due Diligence Process – Was the misconduct or the risk of misconduct identified during due diligence? Who conducted the risk review for the acquired/merged entities and how was it done? What is the M&A due diligence process generally?

  • Integration in the M&A Process – How has the compliance function been integrated into the merger, acquisition, and integration process?

  • Process Connecting Due Diligence to Implementation – What has been the company’s process for tracking and remediating misconduct or misconduct risks identified during the due diligence process? What has been the company’s process for implementing compliance policies and procedures and conducting post-acquisition audits, at newly acquired entities?

Benefits

We help clients who are seeking the following types of benefits:

  • Identify compliance risks and program needs during due diligence.

  • Establish a framework, compliance program criteria and reporting requirements for portfolio companies.

  • Assist portfolio companies with the design and implementation of compliance programs.

  • Monitor issue resolution of compliance events that arise within portfolio companies.

  • Evaluate the implementation and effectiveness of compliance programs within portfolio companies.

  • Integrate legacy compliance programs between companies following their merger.