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Supporting ESG Strategy Through Ethics and Compliance

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MoFo's Stacey Sprenkel discusses how ethics and compliance skillsets can support ESG strategy in multinational corporations.

MoFo's Stacey Sprenkel discusses how ethics and compliance skillsets can support ESG strategy in multinational corporations.<iframe src="https://www.youtube-nocookie.com/embed/4MnBjKtQqQU?rel=0" title="Video: Supporting ESG Strategy Through Ethics and Compliance" frameborder="0" allow="accelerometer; autoplay; clipboard-write; encrypted-media; gyroscope; picture-in-picture; web-share" allowfullscreen="1" title="iframe"></iframe>

Supporting ESG Strategy Through Ethics and Compliance

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<div class="videoWrapper"><iframe class="sticky-video" title="Meet MoFo San Francisco Head of Litigation Stacey Sprenkel" allow="autoplay; encrypted-media" allowfullscreen="1" frameborder="0" src="https://www.youtube-nocookie.com/embed/wNOyJe_ZnZI?rel=0" title="iframe"></iframe></div>Stacey is co-chair of Morrison Foerster’s Environmental, Social, and Governance (ESG) practice. She also leads the firm’s Global Ethics and Compliance practice, and is a member of the firm’s global anti-corruption team. She regularly assists clients with assessing compliance risks across a broad range of issues and developing strategies to mitigate risks. She conducts anti-corruption, human rights, and compliance-focused due diligence in connection with acquisitions and other transactions, and provides day‑to‑day counseling on a broad range of compliance issues.Stacey’s practice is focused on pro-active compliance risk mitigation and counseling. She works with legal and compliance teams, executive leadership, and boards of directors to assess compliance risks across organizations, and to assess whether existing compliance programs and controls are sufficient to address identified risks. She assists with ESG risk mapping exercises and human rights impact/saliency analyses, as well as compliance program benchmarking exercises. She helps companies from start-ups to large global companies develop and enhance compliance programs, and assists with the development of strategies to stay ahead evolving legal regimes and enforcement environments. Stacey leverages her master’s degree in human rights to advise companies in connection with not only avoiding corruption, human rights, and other ethics and compliance risks and issues, but also in developing effective mechanisms to remediate such issues if they arise.When issues do arise, Stacey also leads corporate internal investigations spanning a broad range of issues, including bribery, kickbacks, embezzlement, self-dealing, insider trading, accounting fraud, economic espionage, and health care fraud. Stacey advises clients related to these issues in jurisdictions around the globe, including in North America, Latin America, Europe, Africa, Russia, India, and Asia-Pacific. She also represents clients in connection with SEC and DOJ investigations and enforcement proceedings, and in complex commercial litigation involving False Claims Act, civil RICO, and antitrust matters.Stacey was named to the 2018 list of the “Top 40 Under 40” lawyers in California by the Daily Journal and was also recognized by the Daily Journal as being among the “Top Five Associates to Watch” in California in 2013. She was recently shortlisted for Compliance Lawyer of the Year as part of the 2020 Women in Compliance Awards. She has also been previously recognized by The Recorder as being among the “Lawyers on the Fast Track,” a list of attorneys in California whose early accomplishments indicate they will be tomorrow’s top lawyers and leaders. In addition, Euromoney Legal Media Group selected her as one of eight women recognized on a 2014 shortlist of litigation rising stars for the “Americas Women in Business Law Awards,” which honors the achievements of women leading the legal sector across the Americas. She has also been recommended as a “Rising Star” by Super Lawyers every year since 2009.Stacey regularly speaks on panels on issues related to ESG, human rights, and anti-corruption compliance. Most recently she served as a panelist for MoFo’s “ESG + GCs: Practices, Priorities and Perspectives” webinar, joined a co-branded webinar with McKinsey on “Elevating the Bar for Transparency: SEC Proposed Rules & Potential Implications for Investors,” and participated in EY’s Leading with Integrity Webcast during a panel session focused on “Mitigating Fraud and Corruption risks in ESG.” She will also be joining Ethisphere’s upcoming ESG Virtual Forum to lead a panel focused on “The Regulators are Coming: Should Ethics & Compliance Take the Lead on ESG.”Stacey has long been a champion for veterans’ rights and has been a key team member on several high-profile impact cases on behalf of veterans. These cases include a class action on behalf of veterans who were exposed to chemical and biological substances during their time in service as a result of secret human testing programs conducted by the United States military along with an action brought on behalf of veterans with post-traumatic stress disorder against the Department of Veterans Affairs for failure to provide statutorily mandated benefits and healthcare to returning troops. She has also been involved with proposed legislation relating to veterans’ rights and consults on a number of other matters (judicial and legislative) related to veterans’ rights. Stacey has also handled a number of other pro bono matters, including advising an anti-corruption organization in The Gambia about proposed anti-corruption legislation and working with the Northern California Innocence Project in an effort to secure the release of a prisoner who has been serving 24 years in prison for a crime he did not commit.Stacey was the head of Morrison Foerster’s San Francisco Litigation Department for five years, and is now the Co-Chair of the firm’s Women’s Strategy Committee. She is admitted to practice in California.<h4>Representative Experience</h4><h5>Human Rights and ESG-Focused Matters</h5><ul><li>ESG Risk Mapping Exercise. Assisted a leading global technology company in connection with mapping ESG legal and compliance-related risks across the organization in order to develop appropriate risk mitigation strategies.</li><li>Human Rights Supply Chain Tracing Exercise. Assisting global company in connection with strategy to trace the supply chain of a newly acquired entity with operations and suppliers in Xinjiang, China.</li><li>Accountability Mechanisms. Assisting financial institutions in connection with developing accountability mechanisms for individuals in local communities who face human rights impacts as a result of projects in which they invest to seek information and potential redress.</li><li>Policy Refresh. Assist global company in connection with developing and enhancing both internal and external-facing ESG-related policies (addressing human rights, anti-corruption, AML, DE&I, and other related topics).</li></ul><h5>Investigations and Risk Assessments</h5><ul><li>Asia-Pacific FCPA Investigation. Conducting review of potential payment issues in India and other Asia-Pacific countries for a leading technology company.</li><li>False Claims Act/Fraud Investigation. Representing special committee of Board of Directors in connection with government investigation and internal investigation regarding potential fraudulent transactions and false claims act violations.</li><li>Global FCPA Investigation. Represented a Fortune 500 company in an internal investigation of potential FCPA violations in Latin American and Asia-Pacific countries.</li><li>Asia-Pacific FCPA Investigation. Represented a leading global technology company in an internal investigation of potential FCPA violations in Asia-Pacific countries.</li><li>Global Risk Assessment. Assisted a technology company with significant international operations in conducting an anti-corruption risk assessment and is currently assisting the company with updating its policies, procedures, and training plan to reflect learnings from the assessment.</li><li>Global Risk Assessment. Represented a Fortune 500 company with significant operations in Asia and Latin America in conducting an anti-corruption risk assessment. Following the risk assessment, assisted with development of global compliance program, including developing policies and training, and procedures for screening third parties.</li></ul><h5>FCPA Due Diligence</h5><ul><li>Global Anti-Corruption Due Diligence. Represented a leading technology company in connection with anti-corruption due diligence of a U.S.-based target with significant operations in Asia and the Middle East.</li><li>FCPA Diligence of Medical Device Company. Represented a global medical device company in connection with anti-corruption diligence of a target with global operations.</li><li>Global Anti-Corruption Due Diligence. Represented a global technology company in connection with anti-corruption due diligence of a UK-based target with substantial business in Europe, Russia, India, Asia, and Latin America.</li><li>Global Anti-Corruption Due Diligence. Represented a Fortune 500 company in connection with anti-corruption diligence of an Africa-based target with significant operations in Africa and the Middle East.</li><li>Post-Acquisition FCPA/Compliance Review. Represented a Fortune 100 company with a post-acquisition anti-corruption compliance review of a newly acquired business with operations and significant government touch points in Russia, Eastern Europe, Northern Europe, North Africa, and the Middle East.</li></ul>

Stacey Sprenkel

Partner

Environmental, Social, and Governance (ESG)

Global Ethics + Compliance