Law

In eighth year of managing investigations, summarizing findings, and synthesizing both case law and statutory research to inform risk assessment and litigation strategy.

Represent firm on third party vendor engagements. In primary role, review technology and professional service outsource contracts assuring alignment with applicable laws, regulations, and policies/procedures. Provide secondary checks and balances on vendor due diligence, performance evaluation metrics, and transition/exit planning.

Certified Merger and Acquisition Advisor. Leveraged to identify types and sources of target co data, understand inherited contractual obligations, obtain information security history, and assess information security program and infrastructure.

Representations include:

  • data security protocol research of Asian-Pacific central bank data authentication, encryption, and breach notification requirements for US bank compliance department policy and procedures in each jurisdiction.

  • corporate client investigation of EU citizen personal information (PI) held after key employee termination.

  • class-action and breach of contract defense for insurer where policyholders dispute basis for cost of insurance adjustment. Managed disclosure of insured PI and personal health information (PHI).

  • CEO response to Department of Justice (DOJ) investigation into data safekeeping preceding Fintech IPO.

  • assessment of compliance program and demonstration of implementation consistent with DOJ settlement, preserving deferred prosecution agreement (DPA) for previously sanctioned activity.

  • internal investigation into whether financial institution (FI) sold shorting products to pre-IPO investors during lock-up period in attempt to benefit rival company whose upcoming IPO FI was underwriting.

  • investment bank executive for potential Bank Secrecy Act and Foreign Corrupt Practices Act violations arising from DOJ investigation associated with a foreign sovereignty bond transaction.

  • insurer where policyholders alleged captive insurance left cedent with underfunded claim reserves.