Services

National Security, Sanctions, and Export Controls

Our White Collar, Investigations and Compliance practice is one of RSHC’s core strengths.  With seven former federal prosecutors from Chicago, Washington D.C., and Philadelphia, including the former Chief of the Criminal Division of the U.S. Attorney’s Office in the Northern District of Illinois, we have decades of experience investigating, prosecuting and defending the full range of crimes at issue in federal investigations.  Much of our work is focused on international matters, including internal and government investigations of international corruption under the FCPA, money laundering, sanctions and export controls violations, customs evasion, and other cross-border matters. 

We bring all of this experience to bear in our National Security, Sanctions, and Export Controls (“NSSE”) practice.  Our NSSE practice provides services across the broad spectrum of national security law and regulation.  With our deep bench of former DOJ prosecutors, our clients can expect top-notch and experienced lawyers to handle government investigations and enforcement, internal investigations, and compliance counseling and advice.

Our lawyers bring practical government and defense experience, as well as technical expertise, to our NSSE work.  For example:  

  • One successfully prosecuted and tried to a verdict one of the first criminal cases charging violations of the Export Control Reform Act of 2018 (“ECRA”) and indicted, among others, an Office of Foreign Asset Controls (“OFAC”)-designated individual for conspiracy to violate U.S. economic sanctions.
  • Another has secured cautionary or warning letters—the best possible outcome—in connection with voluntary self-disclosures to OFAC and the Bureau of Industry and Security (“BIS”) and has developed and enhanced U.S. economic sanctions and export controls compliance programs for various clients across a range of industries. 
  • Others represent two executives of a global technology company in a federal grand jury investigation of alleged attempts to evade the Export Administration Regulations (“EAR”) concerning sales to a Chinese customer.
  • Another built and led a global compliance program, including a U.S. sanctions and export controls program, for a global diversified healthcare company. 

All of our team members have active federal criminal practices defending clients in a range of government investigations and enforcement proceedings, many of which have international aspects.  We know what it takes to guide a client successfully through these issues and we understand the government’s expectations and best practices.

We also advise companies and individuals on the various U.S. statutes and regulations that govern sanctions and export controls, such as the International Traffic in Arms Regulations (“ITAR”), the International Emergency Economic Powers Act (“IEEPA”), EAR, and the ECRA.

Our services include:

  • Government Investigations and Enforcement: Our team offers clients specialized experience in government investigations and enforcement proceedings involving sanctions and export controls, counterintelligence, economic espionage, foreign agent registration, and money laundering matters.  As part and parcel of our award-winning White Collar, Investigations and Compliance group, we bring the same firepower to bear in our NSES cases.  We defend clients during investigations by the U.S. Department of Justice (DOJ), OFAC, BIS, Department of Homeland Security (DHS) and Department of State.  Having collectively tried and litigated hundreds of cases in federal and state courts, and before administrative agencies, we are at home representing our clients in whatever forum the government chooses.

  • Internal Investigations: Our team is well-equipped to conduct confidential internal investigations into concerns relating to sanctions and export controls, economic espionage and money laundering.  We are thorough yet narrowly focused on the issues at hand.  We also counsel clients on the complicated decision of whether or not to voluntarily self-disclose potential misconduct to the government.  We have prepared multiple voluntary self-disclosure reports to OFAC and BIS, which were resolved with a cautionary or warning letter and no monetary penalties. 

  • Compliance Program Assessments and Counseling: Both in tandem with government or internal investigations and independently, we have designed and enhanced sanctions and export controls compliance programs.  We have performed risk assessments to ensure the client’s program is appropriately tailored to its business and compliance risk, and we have counseled clients on policies, procedures, contractual provisions, and other measures to ensure compliance.  We also advise clients on questions relating to sanctions and export controls that arise in the course of their business.    

At RSHC, we are dedicated to our clients and work collaboratively as a team, drawing from the firm’s diverse experience, to achieve successful outcomes. 

Representative Engagements

Government Investigations and Enforcement

  • Represent two executives in federal grand jury investigation of alleged attempts to evade the EAR in the sale of products to Chinese buyer.
  • Represented a multinational technology company in a cross-border, multi-year export controls investigation by BIS concerning exports to China.
  • Advised a multinational technology company in responding to a subpoena from OFAC regarding alleged dealings with a sanctioned person and prepared a response, resulting in no actionPerformed an internal investigation of alleged sanctions violation concerning technology transfer with consultants based in a sanctioned country.

Internal Investigations

  • Performed an internal investigation of alleged sanctions violation concerning technology transfer with consultants based in a sanctioned country.
  • Conducted a broad internal investigation for a multinational technology company and prepared major voluntary self-disclosure reports to OFAC and BIS related to apparent violations of U.S. economic sanctions and export controls, which resulted in a warning letter and cautionary letter and no monetary penalties.
  • Performed an internal investigation for an engineering and manufacturing firm and prepared a voluntary self-disclosure report to BIS related to apparent violations of export controls, which resulted in a warning letter and no monetary penalties. 

Compliance Program Assessments and Counseling

  • Conducted an assessment of sanctions and export control compliance program for global medical technology company.
  • Advised a medical imaging company on compliance with the October 2022 BIS Interim Final Rule on Export Controls on Advanced Computing and Semiconductor Manufacturing Items.
  • Developed sanctions and export controls and anti-money laundering policies and employee trainings for a global consulting firm.
  • Advised a digital analytics software company on compliance with evolving and heightened U.S. sanctions and export controls restrictions following Russia’s invasion of Ukraine in February 2022.
  • Advised multiple clients on compliance with sanctions, export controls, and anti-money laundering in connection with mergers and acquisitions, financing, and capital markets transactions.
  • Performed a sanctions risk assessment of a consulting firm based in Brazil.
  • Enhanced the sanctions and export controls policy for a foreign solar technology and renewable energy company and advised the company on compliance with the EAR in exporting its products. 
  • Developed sanctions and export controls and anti-money laundering policies for a foreign food and beverage company.  

Attorneys