GK Advisory develops, audits and advises on implementation of ABC and AML 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.

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.

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 helps them to develop long-term strategies for crisis prevention and management.

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.

GK Advisory offers its legal expertise and experience to clients engaged in complex negotiations, deal structuring and organizational change.  We represent clients in M&A transactions, public and private fund raising, licensing transactions, joint venture negotiations and corporate restructuring.

Gene Kleinhendler acts as an arbitrator in international disputes.