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Financial Crimes Compliance

In the United States and across the globe, each day brings headlines of new investigations and penalties involving banks, broker-dealers, hedge funds, private equity, virtual currency, on line fantasy sports and other non-financial businesses.  Increasing regulatory pressures demand that firms implement and maintain effective financial crimes compliance programs to meet ever-growing regulatory expectations.

Lewis Baach Kaufmann Middlemiss's experienced team of former senior in-house compliance professionals and law enforcement officials advises and represents financial institutions and businesses in the U.S. and around the world in connection with criminal, civil, and regulatory investigations and enforcement actions.  Our areas of compliance expertise include:

  • The Foreign Corrupt Practices Act (“FCPA”) and anti-bribery and corruption compliance
  • Anti-money laundering (“AML”) laws and regulations
  • The economic sanctions programs administered and enforced by the U.S. Department of the Treasury’s Office of Foreign Assets Control (“OFAC”) 
  • The ever-growing field of cyber-currencies and online funds transfers
  • Best practices for the prevention of human trafficking

Representative Matters

Advised the World Bank Integrity Vice-President with respect to a corruption related matter involving companies in India

Served as an expert witness for FINRA AML-related matters

Advised foreign and domestic financial institutions and companies from various business sectors on AML, anti-bribery and corruption and sanctions compliance best practices, including advice designed to help clients obtain and maintain correspondent banking relationships

Represented shareholders of a foreign bank in negotiations with FinCEN over USA PATRIOT Act section 311 designation

Advised multiple clients with respect to BSA and money laundering issues involving virtual currency 

Advised numerous companies in the U.S. and abroad with respect to sanctions issues

In the News

Practice Contacts