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Responding to Compliance Issues

Our network of professionals includes former regulators, federal prosecutors, government officials, attorneys, and other experts that understand the regulatory environment that your business has to operate in. From the big picture to the granular details, our team knows precisely what the laws and regulations require and what you need to do to comply. 

More importantly, our people understand how regulators operate, how they think, and what they look for. In fact, our experts may have actually worked on developing the legislation or regulation in question and have working relationships with the regulators you are dealing with. Our depth of experience and knowledge gives our clients a distinct advantage when dealing with regulators. 

Formulating a Customized Compliance Strategy

In representing our clients in regulatory matters, we first develop a team of experts that can best meet your needs. From there, we work very closely with you in order to understand your business and your particular goals. Ultimately, we want to develop and execute a customized strategy designed to achieve the best possible results without compromising your business goals. As part of this analysis, we engage in a full evaluation of your options – where you should cooperate, where you should seek clarification, and when you may need to litigate. Once you’re comfortable with our strategy, our team will move to execute it and resolve your issues as quickly as possible. In other instances, we also help clients develop a strategy for responding to any issues that may arise. 

Assessing Regulatory Risk

We can help even if you aren’t facing an immediate compliance issue. Our clients rely on us to identify potential compliance issues before they arise. We review your operations and identify those areas where you are susceptible to regulatory challenges. We can also assess the quality of your current risk management programs and recommend improvements or changes. 

Developing Compliance Management Programs

For your business to be successful, your regulatory compliance should be proactive, not just reactive. To this end, we work closely with our clients to develop compliance programs so that their businesses can avoid regulatory problems. We can help you develop compliance programs that include the following: 

  • Policies and procedures
  • Fraud detection, testing, and monitoring
  • Employee training
  • Internal controls
  • Board and management oversight and training

As you know, the regulatory landscape is constantly changing. We stay abreast of legislative and regulatory changes so as to provide up-to-date advice to our clients and avoid problems before they arise.