Corporate Compliance and Ethics

An effective compliance program is critical to any corporate entity’s marketplace success.  A compliance program serves as a key tool to minimize the risk of compliance violations — whether securities, environmental, or in any other aspect of the client’s business.  In the event a violation occurs, a robust compliance program can serve to mitigate the risk of prosecution or minimize potential civil and criminal penalties.  We have represented clients in all aspects of corporate compliance matters, including issues arising under the Sarbanes-Oxley Act, False Claims Act, Foreign Corrupt Practices Act, anti-kickback laws, and similar laws.

Building compliance programs

Our attorneys frequently advise clients in the development of compliance programs, corporate codes of conduct, and business ethics policies.  Our representation of clients in compliance matters draws on attorneys in a wide variety of practice groups within the firm, including corporate governance/corporate services, securities, employee benefits, energy, environmental, health care, labor and employment, securities regulatory and compliance, and tax.

Helping set the corporate culture

We believe that a sound corporate compliance program starts with training, policies, and practices that lay the foundation for a workplace culture of compliance.   The existence of a robust compliance program demonstrates the company’s commitment to compliance.  On behalf of clients, we have engaged in training programs and day-to-day counseling to help clients foster a culture of compliance.

Conducting internal investigations

Clients have often called on our attorneys to conduct independent investigations into allegations concerning corporate practices and alleged wrongdoing.  We are experienced in designing effective investigation plans, conducting interviews and document reviews, preparing reports, and offering lessons learned from the investigation to our clients.  In appropriate circumstances, our participation in internal investigations acting as legal counsel will provide the benefit of attorney-client privilege coverage of investigations.

Focusing on the health industry

In conjunction with our health care practice, Conner & Winters attorneys advise clients on a full range of compliance issues.  Our services include:

• Drafting and reviewing policies concerning patient privacy, reimbursement and billing procedures, personnel policies, and other health care matters
• Working with clients to design contracts with physicians, joint venture arrangements and medical staff arrangements
• Developing corporate compliance programs to guide health care providers to conform to state and federal statutes and regulations governing their business practices, including compliance with federal and state anti-kickback laws, privacy laws and HIPAA
• Defending “fraud and abuse” claims
• Advising on Stark physician self-referral laws, including physician recruiting
• Conducting compliance investigations

Addressing “whistleblower” challenges

Conner & Winters has some of the nation’s most experienced attorneys in a significant compliance arena:  advice and representation on “whistleblower” matters.  We work closely with clients to devise proactive measures to minimize the risk that employees will perceive that they have been retaliated against for reporting instances of corporate non-compliance or potentially illegal activity.  These proactive measures include training and policy development, as well as internal concern resolution programs and employee “hotlines."  Our attorneys have a long-standing affiliation with the National Association of Employee Concerns Professionals (NAECP).  Attorneys in our whistleblower defense practice area also represent clients in defending against whistleblower retaliation claims.