Harris Beach attorneys help clients build and improve upon effective compliance programs. Corporate compliance today is much more than complying with the law. It is the practice of diligent management. The most effective compliance programs continue to evolve to keep up with an ever-changing landscape of risks. Our attorneys are knowledgeable and experienced in effective compliance processes and the promotion of organizational integrity.
Profile
Services
Experience
People
Corporate Compliance
- Assisting in the planning and conducting of risk assessments
- Assisting in the development and implementation of a code of conduct tailored to the risk profile
- Assisting in the establishment of effective policies, procedures, and protocols
- Reviewing, revising and strengthening existing codes of conduct and policies and procedures
Training and Education
- Live training of staff, management, and senior leadership (including boards of directors) with specialized training utilizing real-world examples
- Preparing webinars and written Q and A’s regarding compliance issues
- Assisting organizations stay up-to-date on changing regulations and informing staff of new practices and protocols to be implemented
Investigation of Misconduct
- Conducting independent, objective internal investigations
- Counseling on the utilization of interim and corrective measures when necessary
Representation in Cases of Alleged Misconduct
- Representing companies facing allegations of misconduct and discipline by a regulator or law enforcement agencies
- Negotiating settlement agreements to avoid litigation or regulatory penalties
- Helping to ensure a company receives credit by regulators for its effective compliance program
- Engaging our communications professionals, as needed, to assist with media inquiries
