Understanding the New DOJ Compliance Guidance: Part Three – Policies & Procedures
April.12.2017
Lily Stevens Becker helps companies and individuals navigate a range of civil and criminal matters, including government investigations, internal investigations, FCPA compliance, shareholder disputes, and securities litigation.
She has extensive experience managing corporate internal investigations involving FCPA, compliance, embezzlement, fraud and securities laws issues. Lily has conducted investigations around the world for multinational corporations as well as targeted investigations for small organizations. She served on the Monitor Team for two SEC and DOJ FCPA Monitorships, involving a banking technology company and a medical device company. She advises clients on anti-corruption compliance programs at all stages, including developing policies and procedures and conducting assessments of well-established programs.
Lily represents individuals and corporations in connection with SEC enforcement actions and investigations, DOJ investigations, FINRA inquiries, securities class actions and shareholder derivative suits. She has represented founders and investors in start-up companies, including matters involving venture capital disputes, unfair competition, breaches of partnership and shareholder agreements, employment and fraud claims, and fiduciary obligations. In addition, she counsels and litigates in insurance areas, in particular regarding directors and officers insurance and corporate indemnification obligations.
Prior to joining Orrick, Ms. Becker was a clerk for the Honorable Loren A. Smith on the United States Court of Federal Claims.
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Anti-Corruption Compliance Programs: Design and Assessment
- As part of the Monitor Team for two FCPA Monitorships, assessed existing compliance structure and made recommendations for improvement, reporting to the DOJ and SEC pursuant to deferred prosecution agreements.
- Advised companies on building compliance policies and procedures and addressing specific concerns.
Internal Investigations
- Conducted numerous investigations into internal accounting/books and records concerns and potential bribery allegations in multiple countries and made recommendations for remedial action.
- Conducted numerous investigations into potential violations of internal policies and corporate governance.
- Conducted investigation into embezzlement by former employee and offered recommendations for internal control adjustments.
Criminal and SEC Investigations
- Represented multiple senior corporate officers of Solyndra, Inc. in connection with investigations by the DOJ and the United States Congress.
- Represented corporate controller relating to interviews in connection with SEC investigation following financial restatement.
Securities Litigation and Shareholder Disputes
- Represented public company board members in connection with shareholder derivative demands and litigation.
- Represented numerous public companies in connection with shareholder class actions alleging violations of securities fraud.
- Arbitration resulting in prevailing award in a dispute between founders of an internet start-up company.
- Represented former general counsel of a public company in connection with stock option litigation.
Other Matters
- Represented a corporation in connection with a D&O policy dispute.
- Represented a corporation in an arbitration dispute regarding real estate, tax and contractual matters.
Insights
Understanding the New DOJ Compliance Guidance: Part 2 – Autonomy, Resources, and Staffing
April.03.2017
News
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