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Overview

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 clients 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.

Noteworthy

Chambers USA Leading Law Firm Rankings

Calfee has been recognized by Chambers USA as a Leading Law Firm in Investment Funds: Regulatory & Compliance in Band 3 in USA - Nationwide (2024).

Clients interviewed by Chambers USA researchers stated, "The team provides excellent service with a quick response. Calfee has great depth in all areas. The firm's attorneys are very knowledgeable."

Since 2022, Calfee's Investment Management practice Chair and Partner Patrick Hayes has been recognized as a Leading Lawyer in Investment Funds: Regulatory & Compliance by Chambers USA, most recently in Band 2 in USA - Nationwide and in Chambers Global in Band 3 (2024). Clients interviewed by Chambers USA researchers described Patrick Hayes as an attorney who "brings a high level of expertise about the industry, as well as a wealth of experience. Patrick is easy to work with, responsive, personable, practical, and very knowledgeable."

Best Lawyers® “Best Law Firms” Rankings

Calfee was selected for inclusion in the 2024 "Best Law Firms" rankings in Securities Regulation (National Tier 2, Regional Tier 1 Cleveland), Corporate Governance Law (Regional Tier 1 Cleveland), and Corporate Compliance Law (Regional Tier 2 Cleveland).

Disclaimer

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-legal-licensed professionals to advise on certain aspects of a client engagement. Our non-legal-licensed professionals do not provide legal representation or services and are not engaged in the practice of law. 

Professionals

Professionals

Laura E. Burg
Compliance Operations & Risk Consultant
John J. McGuire
Co-Chair, Corporate and Finance
Robert A. Miller
Chair, Employee Benefits and Executive Compensation
Eric  Myers
Compliance Operations and Risk Analyst

Services

Custom Solutions

Custom Solutions

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 the 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

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"The team provides excellent service with a quick response. Calfee has great depth in all areas. The firm's attorneys are very knowledgeable."

Client quote, Chambers USA 

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