GK Advisory develops, audits, and advises on implementation of ABC, AML and sanctions compliance programs based on international best practices, local regulatory expectations and an organization’s risk profile. Assessment of risk requires experience and solutions that are adaptable within the reality of the ongoing business. GK Advisory can identify and correct weaknesses in existing compliance programs. Moreover, we can recognize and address key risks before they result in unintended economic, legal and/or regulatory consequences, as well as personal liability. Compliance policies, procedures and controls will not work effectively unless they are communicated throughout the organization. This means that organizations must develop, document and implement compliance training programs for board members, employees, management and third-party representatives.

Responsibility for third party activity is evolving into one of the highest risk categories.  This includes activities of distributors, consultants, commissioned agents, finders or joint venture partners. Risk-based third-party due diligence is particularly important. Indeed, it is a key element in assessing the effectiveness of a company’s compliance program.  

GK Advisory helps clients identify and understand the risks associated with their third-party relationships.  GK Advisory develops tailored compliance and due diligence programs for third-party representatives and intermediaries based on the unique enterprise risk profile. The risk profile involves jurisdictional risk assessment, industry, operational model and other factors.

Compliance procedures also require a focused analysis of financial transactions, since corruption has many connections to money laundering. GK Advisory offers our clients AML review (focused on monitoring high risk accounts and financial transactions) and provides an efficient way of validating the clients’ source of funds through questionnaires, interviews and other proprietary methodology.  We also advise on how to create synergies between

U.S. sanctions, export control and foreign investment regulations have recently been in the center of media and legal departments’ attention internationally.  GK Advisory advises clients on sanctions compliance based on international best practices and an organization’s risk profile.

GK Advisory conducts investigations on behalf of clients in order to uncover the reasons for control deficiencies or personnel integrity failures that underlie financial misconduct. Our investigative expertise includes understanding the views of regulators regarding red flags and corporate responsibilities, and experience-based professional skepticism.

Gene Kleinhendler has seen what can happen when things go wrong: for example, when a subpoena arrives or a whistleblower notification is delivered; when an article in the newspaper appears alleging bribery or corruption; when a former employee notifies a regulatory body or criminal prosecutor of past bad acts of his/her employer; when a routine audit uncovers side letters or other documents or records raising suspicion of potential fraud, misconduct or violations of regulatory requirements.  For over 40 years, Gene has represented clients before the SEC, DOJ, ISA, IRS and PCAOB.  GK Advisory offers its experience and network of experts to rapidly, effectively and efficiently manage the crisis, and to interact with the relevant government authority to contain and engage the myriad of legal, reputational and financial risks.  GK Advisory helps individuals, companies and auditors to address their immediate concerns and advises them on developing long-term strategies for crisis prevention and management.