Corporate Compliance

Our Approach

This group maintains relationships with regulators and assures current knowledge relating to legislative, judicial, and regulatory developments involving Federal, State, SRO and local matters.

We provide practical, time-sensitive advice and deliver pro-active solutions on wide range of legal, compliance and regulatory issues, including:

• Anti-money laundering, Bank Secrecy Act, SARBOX, and foreign corrupt practices act.
• Civil and criminal enforcement defense
• Regulatory examinations, document production, investigations and defense of enforcement proceedings, including Wells submissions, and sanction negotiations
• Broker-dealer and Investment Advisor compliance and regulatory matters
• Review and revise existing policies/procedures to meet developing legislative and regulatory requirements; governance and risk assessments.

Lawyers in this group previously held senior level positions in federal and state regulatory authorities, law departments of major corporations and financial institutions.

We represent a wide spectrum of public and private companies and individuals in the defense of compliance/regulatory investigations and enforcement proceedings. Matters include leading internal company investigations, reviews of governance policies and procedures, and defending administrative proceedings, civil and criminal actions.

Our lawyers have extensive knowledge of U.S. Federal state and local regulations, with multijurisdictional capabilities. We utilize a “project management” approach to staffing client assignments that coordinate the expertise of different practice group members. Critical defense advice and options are offered at every stage of investigation or proceeding, including negotiation of resolutions on the best terms for our clients. We also have a record of success when matters are litigated to conclusion. Our team of lawyers are committed to the highest quality advocacy on behalf of client. We are effective in implementing corporate strategies with our clients to assure current and future legal and regulatory compliance.

Regulatory & Compliance Focus Areas Include:

• Corporate Governance and Compliance
• Cyber security, privacy and breach responsiveness
• Federal/state administrative and regulatory law involving SEC, CFTC, FINRA, SRO’s, state insurance and securities bureaus/divisions.
• Financial Institution Compliance and Regulation
• Criminal and White-Collar Defense in grand jury matters, parallel civil and criminal proceedings and counseling on voluntary disclosures and Special Investigations
• Internal Investigations for Public and Private Companies