Lily Becker
Partner
サンフランシスコ, シアトルLily is a strategic advisor and advocate in high stakes criminal enforcement, internal investigations, and civil disputes. She has particular experience in fraud, FCPA, and internal controls matters. Through her robust compliance practice, she helps companies prevent and respond to fraud and bribery within their own organizations.
When Boards of Directors or Companies are presented with sensitive problems, they turn to Lily for strategic advice and zealous representation in civil and criminal cases. She has represented executives, directors, and companies in connection with DOJ and SEC enforcement. She has also led corporate internal investigations in the United States and around the world to assess allegations related to bribery, embezzlement, fraud, corporate governance, and securities laws issues, among others. She served on the Monitor Team for three SEC and DOJ FCPA Monitorships or Consultancies, involving a banking technology company and two medical device companies, and helped a medical device company navigate a Monitorship.
All of these types of engagements have given her insight into the internal and public ramifications of these types of actions, which she brings to her compliance and internal controls practice. She advises clients on anti-corruption and anti-fraud compliance programs at all stages, including developing policies and procedures and conducting assessments of well-established programs. Lily has particularly experience in helping build out cross-functional collaboration between Compliance, on the one hand, and Internal Audit and IT on the other. This focus can help companies enhance their approach to meeting the DOJ and SEC's expectations relating to Compliance's access to data and maintaining accurate books and records. Her compliance advice is geared towards helping companies identify long term savings and efficiencies, and helping compliance become stronger and more empowered within the corporation.
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Criminal and SEC Investigations
- Represented clients in SEC inquiries and enforcement actions related to financial disclosures and accounting practices.
- Representing individuals in connection with DOJ healthcare fraud investigations and actions.
- Represented individuals in connection with matters involving financial institution-related investigations sales practices.
- Represented multiple senior corporate officers of a solar energy company in connection with investigations by the DOJ and the United States Congress.
Anti-Corruption and Anti-Fraud Compliance Programs: Design and Assessment
- As part of the Monitor Team for two FCPA Monitorships and one SEC Compliance Consultancy, tested existing compliance structure and made recommendations for improvement, reporting to the DOJ and SEC.
- Conducted a third parties risk assessment to develop an approach to third party due diligence and controls.
- Conducted an evaluation of a compliance program in high risk locations.
- Advised companies on building compliance policies and procedures and addressing specific concerns.
- Provided advice and training to Boards and executives related to governance and internal controls.
Internal Investigations
- Conducted numerous investigations into internal books and records concerns and potential bribery allegations in multiple countries.
- Conducted investigations into leaks of confidential information.
- 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.
Securities Litigation and Shareholder Disputes
- Representing founder in connection with earn-out dispute.
- Represented public company board members and companies in connection with shareholder derivative demands and shareholder class actions alleging violations of securities fraud.
- Co-led arbitration resulting in prevailing award in a dispute between founders of an internet start-up company.
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.
- Advised a private equity group on disputes with a member.
