Corporate Compliance

Advising businesses regarding the establishment and implementation of compliance programs to satisfy requirements imposed by the U.S. Sentencing Guidelines, Sarbanes-Oxley, New York Stock Exchange rules and other regulatory provisions.

Federal and state governments increasingly require companies to police themselves through corporate compliance programs. An overall framework for such programs, contained in the Federal Sentencing Guidelines, includes elements such as: specifically assigning responsibility for compliance to high level individuals with board access; company-wide, job-specific training in compliance matters; periodic risk assessment; and auditing and monitoring in areas of perceived risk. Other statutes and regulatory provisions impose additional requirements for specific industries and in specific areas.

It is essential for companies and their attorneys to understand the expectations of regulatory agencies regarding compliance programs, and how such programs help with agencies and in court when violations occur. We help companies navigate compliance requirements in high risk areas carrying criminal exposure, including

  • Foreign Corrupt Practices Act
  • Economic and Trade Sanctions
    • Trading with the Enemy Act
    • International Emergency Economic Powers Act
    • International Trafficking in Arms Regulations
    • Patriot Act
  • Anti-Money Laundering compliance

Panel Presentations

Members of our team have also participated in multiple panel presentations on corporate compliance, including:

Practicing Law Institute

  • Foreign Corrupt Practices Act 2008: The Nuts and Bolts of Conducting an Internal Investigation (May 8, 2008)
  • Corporate Compliance Institute 2005, Educating the Board on Compliance-Related Responsibilities (March - June 2005)
  • Corporate Compliance Institute 2004, Impact of Sarbanes-Oxley & Other Recent Developments on Compliance (March - June 2004)
  • Corporate Compliance Institute 2003, Experience from the Trenches – Practical Advice on Implementing Compliance Programs (April – June 2003)
  • Institute of Internal Auditors, Northeast Ohio Chapter, Foreign Corrupt Practices Act: Emerging Trends in Compliance Technologies (Sept. 15, 2008)

Association of Corporate Counsel- Southwest Ohio Chapter

  • Current Trends in Financial Statement Fraud (June 19, 2008)

“We bring the best from both worlds — legal and consulting — to every client, every business situation worldwide.” David Axelrod
Axelrod, LLC