Compliance & Investigations

With the increasing trade tension in today’s market, the lawyers in our Compliance & Investigations team work collaboratively so our clients can confront and resolve compliance issues that may arise in international trade or investment matters.

Because the regulatory environment for the world markets is constantly evolving and becoming more complex, the meticulous need for transparency is rising. As transparency requirements and the cost of non-compliance increase, 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 and/or operations. Ensuring compliance is particularly complicated when our clients’ businesses are cross-border and involve multiple jurisdictions outside their home jurisdiction. With our global platform, we skillfully assist and advise our clients on matters related to regulatory compliance in and outside of the United States.

YK Law attorneys have extensive experience advising clients on various aspects of regulatory compliance and contentious issues involving M&A, banking, capital markets, joint ventures, and other transactions. 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 show our clients how to respond 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.

YK Law knows that our clients must have solid compliance management strategies to ensure that their organizations and employees act within the bounds of regulatory compliance agencies. The strategies and programs we create for our clients protect them from the risks of non-compliance. As our clients’ compliance advisor, we train sophisticated businesses on the intricacies of compliance that can preemptively protect them from audits, criminal prosecution, government investigations, and civil enforcement actions. If such actions should ensue, we provide practical, skillful representation and defense.

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 analyses 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

YK Law attorneys have vast experience providing internal confidential corporate client investigations and audits. When a company receives allegations of theft, discrimination, sexual harassment, wage and hour violations, or other federal and state employment law complaints, the matter must be taken seriously. A swift, comprehensive, and effective investigation may require outside counsel, which is how YK Law can help.

For instance, if an employee alleges that someone within the organization is sexually harassing them, both the accuser and accused must be thoroughly interviewed to determine the facts around the allegation. These investigations may also be necessary over shareholder concerns, whistleblower and qui tam complaints, governmental inquiries, and compliance issues, including conduct discovered through routine audits. YK Law attorneys regularly provide internal investigation services for employers who strive to comply with federal and state laws vigilantly. Only through a thorough, objective investigation can a proper and lawful response be implemented to avoid adverse consequences, prosecution, and penalties.

YK Law attorneys also provide counseling on self-regulating compliance training and reporting mechanisms.

Data Privacy, Security and Identity Protection

The state, federal, and international privacy data protection and security laws spanning all industries have become increasingly complex and are continuously evolving. To protect business operations, manage risks, and avoid penalties and prosecution, the protection of sensitive data is ever more critical.

YK Law understands the cybersecurity, privacy, and data protection practices necessary to teach our clients how to protect sensitive data from attacks and breaches. Data privacy, security, and identity protection are essential for the health of an organization, and the law requires that the privacy and security of sensitive information be protected. The penalties for not protecting data are severe and must be avoided whenever possible.

Backed by our decades of data protection experience, we guide our clients through the existing and emerging regulatory requirements. As well, we proactively prepare our clients for breaches, and in the event of a breach, provide actionable responses, conduct investigations, and litigation services when necessary.

White Collar Defense

YK Law’s white-collar defense team represents senior executives, businesses, public officials, and others accused of corporate crime. Whether our clients are accused of criminal, civil, or regulatory misconduct, or multiple accusations are arising from the same event, YK Law brings to the table our full range of resources and skills across all business sectors.

Our white-collar crime team handles the following issues:

• Antitrust violations
• Computer and intellectual property crimes
• Environmental and compliance violations
• Export/import violations
• Foreign Corrupt Practices and Bribery Act Violations
• Health care fraud
• Money laundering
• Privacy and cybersecurity violations
• Procurement fraud
• Securities, financial institution, and accounting fraud
• Tax offenses
• U.S. False Claims Act violations

YK Law services include grand jury and other government investigation representation; criminal appeals; U.S. federal and state trials; internal, U.S. congressional and other legislative investigations; compliance and internal-control reviews and audits; regulatory defense; and monitorships.

Regulatory Advice and Sanction

With the complex existing and evolving regulatory U.S. sanctions and international laws, our experienced and knowledgeable Regulatory and Sanction attorneys provide essential advice and guidance for corporations.

YK Law has decades of experience staying abreast of the scope and intricacies of both U.S. and embargoed countries’ sanction regulations. As well, when our clients do business with embargoed countries, we assist them with parent-subsidies, third-party distributor relationships, investment and financial transactions, direct export, foreign nationals hiring, mergers and acquisitions, joint ventures, licensing agreements, and more.

With our vast knowledge of regulatory sanctions, we advise our clients on executive order regulations, “Trading with the Enemy Act,” International Emergency Economic Powers Act, National Emergencies Act, the anti-terrorism act, as well as sanctioned countries and entities specialty statutes.

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