Delitos Financieros y Compliance
Tanto en los Estados Unidos como en el resto del mundo, todos los días aparecen noticias sobre nuevas investigaciones y sanciones que involucran a bancos, agentes de bolsa, fondos de cobertura, capitales privados, monedas virtuales, deportes de fantasía virtuales y otros negocios no financieros. Las crecientes presiones regulatorias exigen a esas entidades que implementen y mantengan programas efectivos de prevención de delitos financieros, para poder satisfacer las exigencias regulatorias que crecen cada vez más.
El equipo de profesionales de Lewis Baach Kaufmann Middlemiss, el cual posee gran experiencia y está formado por profesionales que ocuparon altos cargos en materia de compliance y por ex fiscales, asesora y representa a instituciones financieras y a empresas de Estados Unidos y del resto del mundo, en relación a investigaciones penales, civiles y regulatorias que se realicen, así como también en la ejecución de las medidas coercitivas. Las áreas de mayor experiencia son las siguientes:
- Ley sobre prácticas corruptas en el extranjero (FCPA, por sus siglas en inglés) y cumplimiento de normas anticorrupción.
- Leyes y normas sobre prevención del lavado de dinero (“AML”, por sus siglas en inglés).
- Programas de sanciones económicas administradas y ejecutadas por la Oficina de Control de Activos Extranjeros (OFAC, por sus siglas en inglés) del Departamento del Tesoro de los Estados Unidos.
- La creciente área de monedas virtuales y transferencias electrónicas de fondos.
- Las mejores prácticas para la prevención de tráfico ilegal de personas.
A menudo las empresas pueden mitigar o evitar cuestionamientos y/o sanciones cuando mejoran sus procedimientos de prevención de delitos financieros. Ofrecemos una perspectiva única basada en nuestra combinación de experiencia práctica en operativa interna y en nuestra actuación previa como fiscales. Ayudamos a nuestros clientes a satisfacer las expectativas regulatorias, a detectar y prevenir el lavado de dinero, detener la corrupción y evitar violaciones involuntarias de leyes complejas y técnicas de sanciones.
Nuestra práctica de delitos financieros y compliance es variada. Hemos asistido satisfactoriamente a clientes extranjeros y locales a crear programas de cumplimiento de normas que los distinguen de sus colegas y los ayudan a ganar y consolidar el acceso a los mercados de Estados Unidos. También hemos asesorado a clientes con respecto a FCPA, AML y riesgos de sanciones asociadas con transacciones y adquisiciones. Ayudamos a nuestros clientes a encontrar soluciones eficientes y razonables de compliance, y los representamos ante autoridades penales y regulatorias, en caso de que surjan problemas.
Noticias
Cristián Francos has again been recognized as a global leader in the field of investigations by Who’s Who Legal in its Investigations: 2022 guide.
May 31, 2022Lewis Baach Kaufmann Middlemiss PLLC is pleased to announce that John Moscow has been named to the 2021 New York Super Lawyers list. Each year, no more than five percent of the lawyers in each state are selected to receive this honor. In addition, A. Mackenna White has been named to the 2021 New York Rising Stars list. Each year, no more than 2.5 percent of the lawyers in the state are selected to receive this honor.
September 30, 2021LBKM partner Cristián Francos has been appointed as Senior Vice Chair of the IBA’s Business Crime Committee.
January 26, 2021Cristián Francos been recognized as a Global Leader in Who’s Who Legal: Investigations 2021. Who’s Who Legal is one of the world’s leading directories of legal practitioners.
January 2021In 2020 and beyond, foreign banks should expect the U.S. Department of the Treasury's Financial Crimes Enforcement Network, or FinCEN, to expand its use of so-called special measures.
Law360, January 13, 2020Arthur Middlemiss spoke to Corporate Counsel regarding the September 27, 2019 consent order entered by the U.S. Securities and Exchange Commission detailing corruption offenses by Barclays PLC.
Corporate Counsel, September 30, 2019Colleges and universities must recognize the risk of potential corruption in their admissions process, and build intelligent controls to guard against fraud. Lewis Baach’s Arthur D. Middlemiss explains that schools should employ cost-efficient compliance measures and warns of the dangers in failing to do so.
Bloomberg Law Insight, March 29, 2019Non-US insurers with exposures to Iran-related business face a difficult six months to bring their business into compliance with US president Donald Trump’s newly reinstated snap-back sanctions
Insurance Day, May 17, 2018A government coverup of the Cohen reports “makes no sense,” said Aaron Wolfson, a lawyer who previously oversaw suspicious activity reporting for JPMorgan Chase. “I find that laughable.”
Washington Post, May 17, 2018Mr. Francos was quoted in the article saying, “If someone received a bribe, then someone had to have paid the bribe,” he said. “Companies should be well prepared [to be investigated].” He continued to say, many Argentinian companies that are contracted by the state do not have established policies in terms of compliance and integrity, and will likely rush to put together new compliance programmes. Francos said “this shock could be good” to improve standards quickly. “This [scenario] creates a problem for companies, but also an opportunity that will bring change to Argentina’s business culture,” he said.
Global Investigations Review, November 13, 2017
Publicaciones, Presentaciones y Eventos
Adam Kaufmann served as a panelist for this CLE on federal and local enforcement trends in the construction industry.
June 22, 2022- Significant Expansion of Beneficial Ownership Disclosure Requirements in the United States
The U.S. Senate joined the House of Representatives and passed the 2021 National Defense Authorization Act, a defense spending bill, which included the Corporate Transparency Act (the “Act”). That Act sets forth an expansion for the disclosure requirements for certain US and non-US companies doing business in the United States.
December 14, 2020 The health effects of Covid-19 have created personal tragedies that seemed unimaginable a few short months ago. Despite the efforts of governments, the virus has shown that the world is inextricably interconnected. How we respond will dictate whether that interconnectedness is a positive or negative force as we try to recover from the economic crisis that has arisen in the wake of the pandemic. In Latin America, individuals and companies have either begun to see, or fear, the return of currency controls, defaults and chaos as the governments of the region confront historic challenges. Many have once again sought refuge in the perceived relative safety of the U.S. financial system. However, investors may find that their sudden search for a safe haven may bring on a series of unanticipated problems.
May 22, 2020Banks serving clients in the many countries the U.S. views as high risk for money laundering should be aware that the U.S. Financial Crimes Enforcement Network (“FinCEN”), a bureau of the U.S. Department of the Treasury, plans to expand its use of “special measures” to fight money laundering and terrorist financing.
September 17, 2019Lewis Baach Kaufmann Middlemiss partner Cristián Francos spoke at ACI's Anti-Corruption Compliance for High Risk Markets conference on July 24, 2019 in Washington, D.C.
Washington, D.C., July 24, 2019- The Cornell Club, New York, NY, June 18, 2019
Cristián Francos served as Organising Committee Head for the 22nd Transnational Crime Conference in Buenos Aires.
Buenos Aires, Argentina, May 15-17, 2019- May 2018
Eric Lewis focuses on three key areas: (1) the widening of the net from sanctioned individuals to their families; (2) the application of the evasion provisions to foreign persons; (3) the bringing of new classes within existing sanctions.
The New York Law Journal, December 8, 2017- November 2017