Investigations & Regulatory Compliance

Corporate internal investigations are critical for identifying and addressing potential misconduct within an organization. The benefits are numerous, including prevention of recurring issues, positive stakeholder perception, improved corporate governance and identification of policy gaps. They also help maintain integrity, protect company interests and ensure legal and ethical compliance. However, internal investigations must be handled with … Read more

While you may understand the state and federal labor laws, your employees may not. You may need to conduct compliance training for your employees so they understand the consequences of violating labor laws. Here’s what you could do: 1. Harassment and discrimination prevention Workplaces have to maintain a safe environment for workers. This means that … Read more

Just like anyone else, businesses are subjected to taxes. Businesses may have to pay federal, state and city taxes. No one enjoys paying taxes. It can be confusing and people often don’t know if they’re doing it right. Taxes for businesses can be a lot more complicated than individual taxes. One small mistake and a … Read more

One reason the Securities And Corporate (SEC) Investigations might investigate you is if they feel you did not adequately disclose information to investors. Potential investors can only make informed decisions if they have the material necessary to inform themselves. As a company looking for investors, that means you will need to pass them some of … Read more

In today’s globalized world, third-party compliance is a crucial aspect of business operations. You do not want to expose your business to regulatory and reputational risks due to the conduct of external vendors, contractors and suppliers. Therefore, it is advisable to have an effective third-party compliance program to help protect your business interests and avoid … Read more

You have established your company. You have the necessary paperwork together and are looking forward to bringing in your first batch of employees. Your business is ready to go and you can’t wait to open your door to clients. Nonetheless, it’s important to first ensure that you are complying with all the relevant regulations. Employment … Read more

As an employer, it helps to have a solid and effective anti-harassment policy at the workplace. Your employees should feel safe and assured that their work environment is free of any form of harassment or discrimination. A policy that does not fully address harassment claims or concerns could lead to high employee turnover, decreased morale … Read more

Anyone who opens a business needs to ensure they understand the applicable regulations that apply to their industry. This is one of the only ways the owners can ensure compliance. From there, they need to hire individuals who understand the industry and can keep things on track. While some may think that having a solid … Read more

The U.S. regulatory landscape evolves constantly. As a result, it is critically important for larger companies to take a proactive approach to compliance. Without a strong, proactive approach in place, seemingly innocuous gaps in compliance can become significant legal, financial and practical headaches for even the most well-run enterprises. In recent years, the concept of … Read more