Compliance & Investigations

Compliance & Investigations

Regulatory environment for the markets around the world are constantly evolving and are becoming more complex. As transparency rises in importance in the global marketplace and the costs of non-compliance with applicable rules and regulations increases, the lawyers in our Compliance & Investigations Practice work closely with our clients to help them understand their responsibilities and liabilities, manage risks and lessen the impact of the regulatory regimes on their transactions or operations. Ensuring compliance is particularly complicated when our clients’ businesses are cross-border and involve multiple jurisdictions outside of their home jurisdiction.  With our global platform, we are able to assist and advise our clients on matters related to regulatory compliance in and outside of the US.

Our lawyers have extensive experience advising clients on various aspects of regulatory compliance and contentious issues involving M&A, banking, capital markets, joint ventures and other transaction. Our role is to assist our clients with formulation strategies that safeguard their assets and reputations and enable them to successfully complete their transactions.  We also advise and assist our clients with responding to inquiries and investigations from regulatory authorities, including the Securities and Exchange Commission, Commodities and Futures Trading Commission, and the Committee on Foreign Investments in the United States.

With the increasing trade tension in today’s market, the lawyers in our Compliance & Investigations Practice work closely and collaboratively with the lawyers in our corporate practice and disputes practice to ensure that we provide our clients with a team approach to confronting and resolving any compliance issues that may arise in any international trade or investment matters.

Anti-money Laundering Compliance, Audit and Investigations

Our lawyers have gained recognition and expertise in the area of financial compliance with particular emphasis on the Bank Secrecy Act (BSA), the USA Patriot Act, Office of Foreign Asset Control (OFAC Sanctions Screening), and Anti-Money Laundering (AML) compliance. We conduct independent and objective analysis of our clients’ AML compliance efforts and assist their officers, and directors with formulating and implementing prudent and correct policies, procedures, and controls.  If necessary, we will recommend specific measures and remedial actions.

Corporate Compliance, Audits and Investigations

Data Privacy, Security and Identity Protection

White Collar Defense

Regulatory Advice and Sanction

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