Gregory W. Bates

Compliance Monitorships & Related Engagements

• Served on three monitorship teams for companies operating in the medical devices, extractives, and medical waste industries as part of their FCPA settlements with the U.S. Department of Justice (DOJ) and Securities and Exchange Commission (SEC). 
• Counseled a client with its non-prosecution agreement (NPA) compliance remediation and navigation through a monitorship. The representation began shortly after the company entered into its NPA with the DOJ and settlement with the SEC and included the development of the company's compliance policy environment, encompassing such high-risk areas as government interactions, medical education events, third parties, sales, donations, conflicts of interest, joint ventures (JVs) and minority investments, internal investigations, and discipline. The company timely concluded its monitorship and NPA. 
• Counseled a client on the self-monitoring aspects of a DPA with the DOJ and a consent agreement with the SEC. The company subsequently completed the agreements' self-monitoring period, which followed its external monitor requirements. 
• Advised a client's culture, awareness, and risk management team. Assisted the company in drafting and operationalizing policies and procedures and designing and delivering training and communications. Advised on risk assessment and development of the compliance monitoring program while the company had a Monitor pursuant to settlements with the DOJ and SEC. 
• Seconded to a client in the telecommunications industry to help develop and implement a compliance and internal controls workplan ahead of the arrival of their Monitor pursuant to the dispositions of FCPA cases brought by the DOJ and SEC.  

Compliance Program Development, Implementation, and Evaluation Assessments 

• Conducted a multi-jurisdictional review of the anti-corruption compliance program and related internal controls against applicable statutory standards and best practices for an international beverage producer, distributor, and manufacturer. The review involved a review of the company's existing compliance program and its enterprise resource planning (ERP) systems and internal controls, document review, interviews of Board members, senior management, and business and compliance personnel, and compliance reviews of major operations in various geographical locations. 
• Provided a multilatina client with anti-corruption compliance advice based on the internal review of a newly acquired entity in Mexico that raised improper payment and controls issues concerning connections to government and labor union officials. Work included interviewing personnel at both the acquired entity and the acquiror who participated in the pre-acquisition diligence, identifying and conducting additional due diligence into high-risk third parties, and reviewing documents and samples of relevant transactions in Spanish. 
• Assessed a multinational apparel company's anti-corruption compliance program structure and performed a targeted review of the compliance program in its largest non-U.S. market (Mexico), which included on-site interviews and analysis of the design of its compliance control framework in the country. Findings were reported to management and the Board of Directors. 
• Assessed the compliance program and related internal accounting controls for an agricultural company. Several years before the engagement, the company had completed an external monitorship pursuant to FCPA settlements. At the time of our engagement, the company sought to evaluate their compliance program vis-à-vis regulator expectations, leading practices, and identify areas for managing risk more efficiently. 
• Led pre-acquisition due diligence and designed post-acquisition diligence and compliance integration plans for oil, gas, and electricity production clients in Latin America and West Africa. 
• Conducted post-acquisition due diligence on high-risk third parties in the mining sector in Brazil. We recommended mitigation measures to manage the risk associated with the service providers our client was unable to terminate. 
• Providing corporate compliance and risk mitigation advice to a rapidly growing out-of-home (OOH) advertising company as it expands its global footprint. The engagement includes risk assessments, policy and procedure preparation, training, third party due diligence, internal controls, and investigations. 
• Providing compliance advice to a government development finance agency to help our client evaluate which projects to support. The engagement includes working closely with potential partners of our client and their counsel to ensure that risk-appropriate compliance programs are designed and implemented effectively. 
• Conducted on-site and remote risk assessments for multinational companies operating in various industries (including, cosmetics and perfume, tobacco, utilities, oil and gas, food and beverage, pharmaceutical, and animal pharmaceutical), across the globe, in Portuguese, Spanish, and English. These engagements included defining the scope, identifying and interviewing relevant company and third party personnel, designing improvement opportunities, and reporting to client leadership. 
• Provided early stage compliance program design and implementation advice to companies that previously had no compliance program in place. 

FCPA & White Collar Investigations 

• Led the investigation of payments to community leaders in a remote area of a Latin American country. As a result of the investigation, we advised to enhance governance mechanisms to provide the company greater visibility into and control over legally required payments to indigenous communities. At the time of the engagement, the company was in settlement discussions with the DOJ and SEC to resolve allegations of violations of the FCPA. 
• Represented one of the world's largest food producers in review of certain cross-border transactions and food quality operations, with respect to potential improper payments to government officials, money laundering, and violations of food quality and safety regulations. Led investigative and remediation work in Argentina, Brazil, and the Middle East. Our work led to decisions by DOJ and SEC to close the investigations without penalties or disgorgement and a favorable resolution with Brazilian regulators. 
• Investigated on behalf of the Audit Committee of a multinational company in the extractive resources sector allegations by non-US prosecutors of approximately $4B in cost overruns in connection with the construction of a refinery by one of its subsidiaries. 
• Led an internal investigation into security breaches and allegations of smuggling at ports in Latin America and the Caribbean for a major energy company. The investigation included the review of documentation, on-site interviews, and controls analysis in Spanish. The investigation recommended improvements to address security risks and related illicit activity. 
• Led investigations concerning potential improper payments to government officials for an infrastructure construction company while it was under an external monitorship pursuant to a DOJ FCPA enforcement action, recommended improvements to the compliance program and related internal accounting controls, and reported to the monitor. The company concluded the monitorship on time. 
• Led an investigation into concerns of a third party service provider and its interactions with the state-owned oil company in Brazil. 

NGO Advice & Counsel 

• Represented an international NGO subject to an administrative agreement with a donor agency. The representation included compliance programming improvements, enhancements to the donor notification process, and advice on how to support early termination of the administrative agreement. Based on the strength of the compliance program, the agency terminated the administrative agreement early. 
• Conducted a compliance program assessment for a global NGO, resulting in policy improvements to address legal and reputational risks associated with bribery, corruption, and duty of care/safeguarding security concerns.  
• Revised policies and third-party partner agreements and trained senior personnel on legal and reputational risks associated with an international NGO's operations. 

• Compliance Director, Latin America Region, and Global Enterprise Risk Counsel, Avon

• The Best Lawyers in America^®: Corporate Governance and Compliance Law (Ones to Watch), 2021 - 2023
• Legal 500: Dispute Resolution: International Trade, 2021 - 2022
• Legal 500 Latin America: International Firms: Compliance and Investigations, Next Generation Partner, 2023
• Legal 500 Latin America: International Firms: Compliance and Investigations, Rising Star, 2022
• Latinvex Top 50 Rising Legal Star, 2018
• DC Bar Capital Pro Bono High Honor Roll, 2020
• Fulbright Scholar (Uruguay), 2001

• Member, Law360 2024 Compliance Editorial Advisory Board