Whether facing an urgent issue or assessing more general compliance needs, organizations need comprehensive compliance programs to help them navigate the considerable array of state, federal and international laws, as well as their own internal company policies and contracts.
Calfee’s Compliance attorneys have extensive experience assessing the enterprise risks that our client’s face and we work with them to build effective and customized compliance and ethics programs that: comply with legal obligations; recognize, assess and manage potential ethical, regulatory, contractual and enforcement risks; and provide a structure through which these risks can be detected and managed.
We regularly represent both privately held and publicly traded companies that operate in the U.S. and abroad. Because effective compliance programs are not one-size-fits-all, we work with clients to customize a program that meets their individual needs within their particular business or industry.
Calfee’s Compliance Services attorneys have extensive experience assessing the enterprise risks that our clients face within their particular industries.
We work with our clients to build effective compliance and ethics programs that:
- Comply with legal obligations;
- Recognize, assess and manage potential ethical regulatory, contractual and enforcement risks; and
- Provide a structure through which these risks properly can be detected and managed.
We identify and prioritize compliance risks and then design a customized compliance and ethics program that meets the needs of each client. We also are routinely called upon to assist clients in reviewing and enhancing discrete aspects of existing compliance and ethics programs. Our group has a deep understanding of our clients’ businesses and cultures and in counseling, defending and protecting them with regard to the ethics and compliance obligations and issues that face them.
And, although we make every effort to avoid the expense and reputational harm that can result from trial or public investigations, Calfee’s team of experienced trial lawyers and crisis management professionals are highly qualified to represent clients should the need arise.
U.S. News – Best Lawyers® “Best Law Firms” Rankings
Calfee was selected for inclusion in the 2021 "Best Law Firms" rankings by U.S. News – Best Lawyers in Corporate Compliance Law (Metropolitan Tier 2 Cleveland).
Although many of the professionals in our Compliance Services group are attorneys, with the client's prior authorization, we may engage one or more of our non-licensed professionals affiliated with Calfee Strategic Solutions, LLC (CSS) to advise on certain aspects of a client engagement. Calfee Strategic Solutions, LLC is not a law firm, and non-licensed professionals employed by CSS do not provide legal representation or services and are not engaged in the practice of law.
Calfee's Compliance and Regulatory Services Team has experience assisting clients in the following areas:
- ADA Compliance
- Advertising and Trade Practice Compliance
- Antitrust Compliance
- Corporate Governance and Securities Compliance
- Customs, Imports and Country of Origin Compliance
- Employment Compliance
- Environmental Compliance
- ERISA Compliance
- Fair Housing Compliance
- Federal Government Contracts and Agency Regulation Compliance
- Food and Drug Administration Compliance
- Foreign Anti-Corruption Compliance
- Health Care Compliance
- Internal Revenue Service Compliance
- Privacy and Data Security Compliance
- Products and Labeling Regulation Compliance
- Records Management Compliance
- White-Collar Crime Compliance
Whether you need to build an effective compliance program from square one or you want assistance assessing the effectiveness of existing programs and, where appropriate, expanding, refining and improving them to meet current regulatory developments and demands, our experienced compliance services team can help.
We are able to assist our clients with the following:
- Conduct a baseline audit of the current compliance program
- Develop standards of conduct, including written policies and procedures to detect and prevent criminal conduct
- Develop written policies and procedures that outline how the client’s compliance program will operate, define the applicable regulations and risk areas that apply to the organization, and guide the company as to how to operate within those regulations
- Identify the individuals within the organization who are responsible for implementation and operation of the compliance program and formulating the guidelines within which that individual or committee will operate
- Identify and prioritize key areas of compliance risk to the company
- Create effective training programs to ensure that employees, contractors and agents understand their roles and obligations in the company’s compliance efforts
- Implement an effective mechanism for reporting and investigating activity or conduct that runs afoul of the company’s legal, regulatory, contractual and/or ethical obligations
- Develop procedures for enforcement and, where necessary, disciplinary measures
- Work with government agencies, officers or representatives, as well as crisis communications professionals, in the event that the company is accused of having engaged in some level of wrongdoing
- Evaluate the effectiveness of the compliance program on an ongoing basis
Because effective compliance programs are not one-size-fits-all, we work with clients to customize a program that meets their individual needs within their particular business or industry.
News & Events
- Securities Compliance Podcast: Compliance in Context, 03.02.2021
- Cincy Magazine, 03.01.2021
- The Securities Compliance Podcast Episode 12 - Examinations and Enforcement (Lessons From The Front Lines)Securities Compliance Podcast: Compliance in Context, 02.16.2021
- The Securities Compliance Podcast Episode 11 - SEC Enforcement and the Impact on the Industry (Lessons From The Front Lines)Securities Compliance Podcast: Compliance in Context, 02.02.2021
- SEC Commissioner Hester M. Peirce Provides Insights as Guest Speaker on The Securities Compliance Podcast: Compliance in Context01.19.2021
- Securities Compliance Podcast: Compliance in Context, 01.06.2021
- The Securities Compliance Podcast Episode 8 - Diversity, Equity & Inclusion in Your Compliance ProgramSecurities Compliance Podcast: Compliance in Context, 12.23.2020
- The Securities Compliance Podcast Episode 7 - What's Up with Regulation Best Interest and How the Best Firms are Addressing the New RuleSecurities Compliance Podcast: Compliance in Context, 12.09.2020
- Securities Compliance Podcast: Compliance in Context, 11.24.2020
- Securities Compliance Podcast: Compliance in Context, 11.10.2020
- Calfee Earns Multiple National and Metropolitan Rankings in the 2021 Edition of U.S. News - Best Lawyers "Best Law Firms"U.S. News & World Report and Best Lawyers®, 11.05.2020
- The Securities Compliance Podcast Episode 2: "What's New at OCIE?" With Guest, Natasha Greiner, Associate Director of the SEC's IA/IC Examination OfficeSecurities Compliance Podcast: Compliance in Context, 10.19.2020
- The Securities Compliance Podcast Episode 3: "The New DOL Fiduciary Rule" With ERISA Expert David Kaleda, Principal at Groom Law GroupSecurities Compliance Podcast: Compliance in Context, 10.19.2020
- The Securities Compliance Podcast Episode 4: "How FinTech and RegTech Impact Compliance" With Guest, Chuck Senatore, Founder of the Boston RegTech Meetup and Board Member and Adviser to FinTech, RegTech and Cryptocurrency CompaniesSecurities Compliance Podcast: Compliance in Context, 10.19.2020
- Securities Compliance Podcast: Compliance in Context, 10.19.2020
- Patrick Hayes Co-authors "The Revenant of Fair Value Cometh for Fixed Income Markets" Article for NSCP CurrentsNational Society of Compliance Professionals Currents, 10.12.2020
- Seventy-five Calfee Attorneys Selected for Inclusion in The Best Lawyers in America 2021 and Best Lawyers: Ones to Watch Lists; Three Calfee Lawyers Named to Best Lawyers "Lawyer of the Year"The Best Lawyers in America©, 08.24.2020
- "Navigating the Impact of COVID-19 for Registered Investment Advisers and Broker-Dealers," an Article Published in the NSCP Newsletter, CurrentsCurrents, the National Society of Compliance Professionals Newsletter, 04.13.2020
- Calfee, Halter & Griswold LLP Hires Former Global Retail General Counsel to Serve Clients in Commercial Finance and Corporate Transactions11.26.2019
- U.S. News & World Report and Best Lawyers®, 11.01.2019
- Fifty-one Calfee, Halter & Griswold Attorneys Selected for Inclusion in The Best Lawyers in America 202008.15.2019
- U.S. News & World Report and Best Lawyers®, 11.01.2018
- Forty Calfee, Halter & Griswold Attorneys Selected for Inclusion in Lawyers of the Year and The Best Lawyers in America 201908.15.2018
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