• A Full or Discrete Compliance Program Audit
• Company Consultation
• Board Consultation and Compliance Training
• Investigative Services
• A Second Opinion
• A Different Kind of Hotline
• Educational Seminars and Training
  

SUBSTANTIVE ASSESSMENT AREAS WITHIN THE COMPLIANCE ARENA

A FULL OR DISCRETE COMPLIANCE PROGRAM AUDIT

The quality of a company’s compliance program has three important
ramifications:

1. The better the program, the stronger the culture of compliance, the more likely criminal conduct will be prevented.
   
2. In accordance with the Deputy United States Attorney General’s memorandum, the quality of the program weighs significantly in deciding whether a corporation should be indicted for the actions of its employees.
   
3. In accordance with the United States Sentencing Guidelines, the quality of the program weighs significantly in the sentence to be imposed if a corporation is convicted of criminal wrongdoing.

The PREVENE Group can evaluate and assess every aspect of a company’s compliance program with the needed perspective to ensure the program can prevent criminal conduct and meet the standards of the Department of Justice and the Sentencing Guidelines.

COMPANY CONSULTATION

The PREVENE Group perspective can identify risks and assist management in choosing the best course of action for a variety of business decisions and assist top management in fostering a culture of compliance. Consultation with in-house counsel can ease the burden of trying to shield the company from prosecutors and allow them to focus on helping the company prosper. Internal and external auditors can also benefit from the insight and knowledge The PREVENE Group is able to offer. We also can advise on securities disclosure issues which may accompany challenging business problems.

BOARD CONSULTATION AND COMPLIANCE TRAINING

The recent corporate fraud scandals have changed the landscape for Board of Directors more than anyone. Significantly more responsibility has been placed upon the Board to ensure the prevention of corporate misconduct. Boards, especially Audit Committees, compensation committees, and special litigation committees, can obtain significant added protection with assistance from The PREVENE Group. Attendance at Board or committee meetings can help identify potential problems before they grow into a matter of concern. Specific compliance training with the prosecutor’s perspective can further enable the Board to carry out its responsibilities and provide further compliance with the new requirements of the Federal Sentencing Guidelines. Working with the Board of Directors’ Audit Committee, we can assist in monitoring the myriad issues involving financial reports.

INVESTIGATIVE SERVICES

Sometimes issues develop. Whether allegations of misconduct are brought to the attention of the Board’s Audit Committee, in-house counsel, internal auditors or upper management, extensive fact-finding sometimes must be undertaken. When serious issues surface, the prudent course is to obtain outside help to investigate. The former white-collar prosecutors and former federal agents of The PREVENE Group are particularly qualified to conduct a thorough and professional investigation capable of resolving any issue. The qualifications and experiences of The PREVENE Group give it a credibility and stature which enables it to more readily and adeptly discover the truth. Once the facts are known, the prosecutorial knowledge, understanding and perspective of The PREVENE Group can provide the appropriate approach to handling the information and government officials to avoid criminal charges.

A SECOND OPINION

The PREVENE Group assists companies caught-up in a criminal investigation (or internal investigation slipping out of control). A criminal investigation can be like a cancer. If handled incorrectly, it can mean the death of the company. There may be good reason to continue to utilize the services of counsel who regularly handle the corporation's legal matters. When it comes to the health of the company, though, just like the health of an individual, the best move may be to seek a second opinion. In the medical profession, a second opinion, from a specialist, can suggest different approaches to resolving the medical issue. Companies, when facing the multi-million dollar ramifications of a criminal investigation, should be doing the same thing. The PREVENE Group perspective can provide a second opinion on the evaluation of any criminal allegations and how to best deal with both the allegations and the prosecutors.

A DIFFERENT KIND OF COMPANY HOTLINE

We believe employees must feel empowered to do what is right, and must have the ability to raise their concerns when they believe something is wrong. The most effective tool to enable employees to voice concerns is a company hotline to report issues related to corporate fraud. A truly successful hotline system needs two key components. First, employees must believe that their calls will be given serious attention, and that the people evaluating the information have the ability and the authority to thoroughly investigate the matter. Second, the people receiving the information need the skill and insight to make accurate assessments as to what information has the potential of growing into a corporate fraud matter. The PREVENE Group, coming from outside the corporation and with its extensive fraud investigative experience, can establish a hotline system which has a distinct advantage at identifying and investigating potential fraud issues, giving employees full confidence that the system works. The PREVENE Group hotline is unlike any other hotline. Rather than utilize an offshore call center, our hotline has former federal agents, with years of white-collar fraud experience, answering the phones and talking directly to the callers. For companies without a hotline, we will fully establish the system. For companies with an established hotline, we can enhance the existing system.

EDUCATIONAL SEMINARS AND TRAINING

Almost every company conducts seminars to update their employees on the latest rules and regulations, and many put on seminars related to corporate ethics. But the goal of compliance training should always be to enhance the culture of compliance and foster the highest standards of ethics within the company. The PREVENE Group can help companies reach a higher level of compliance for several reasons:

• Before a single issue is discussed at a seminar, management’s acceptance of The PREVENE Group perspective tells every employee that management embraces its corporate responsibilities.
  
• The only person capable of educating employees about how a corporate fraud prosecutor thinks, is a corporate fraud prosecutor. The PREVENE Group is uniquely positioned to enlighten management and employees of the realities that prosecutors see the world
  
• differently and the dangers a prosecutor’s view of the world can create for any company.
  
• The PREVENE Group’s training can cover as many areas as needed, including general corporate governance, accounting and financing, securities, employment, contracting, FCPA, antitrust, and environmental issues–all presented with The PREVENE Group perspective.
  

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