Corporate Compliance and Risk Management

We help our clients navigate state and federal laws and regulations, identify and assess their responsibilities, and assist them with appropriate tools to ensure compliance. We always account for the particular resource, structural, and market limitations of our clients and work to develop solutions that fit our clients’ current circumstances and are also scalable and adaptable as those circumstances change. Our projects often fit in one or more of these categories:

  • Analysis of actual or potential compliance responsibilities and risks and development of policies, procedures, and organizational changes that will address those responsibilities and risks
  • External compliance examinations and audits
  • Gap analyses to identify areas where improvement or additional effort is needed
  • Responses to criticism or encouragement from regulators, other governmental agencies, or external or internal auditors
  • Training modules, customized education solutions, and development and implementation of policies and procedures
  • Targeted, scalable assessment of risks, both in the general regulatory environment as well as specifically tailored to our clients’ businesses, as well as corresponding compliance programs that address those risks and take into account both the present and future resources and capabilities of our clients
  • Internal compliance investigations
  • Analysis and risk assessment for D&O liability and appropriate insurance coverage
  • For clients expecting regulatory examinations, assistance in assessing efforts and preparing for examiner discussions, through mock examinations and interviews
  • Contract compliance officer services
  • Comprehensive compliance manuals with regular updates and training on most compliance topics
  • Detailed information, appropriate policies and procedures, and tailored forms that fit each client’s current resources and profile and grow as they do

In all our Compliance endeavors, we recommend actions that will modify our clients’ cost structure and operating environment as little as possible.

Our areas of expertise and experience include:

  • privacy of customer information
  • marketing, advertising, and social media
  • employment policies and practices, including compliance with OSHA, FLSA, FMLA, Title VII, ADEA, ADA, GINA, among others
  • public company compliance with SEC and corporate governance requirements, including necessary elements under the Sentencing Guidelines
  • Bank Secrecy Act and anti-money laundering issues, including those under the USA PATRIOT Act
  • new and pending mortgage requirements, including qualified/non-qualified mortgages and “Know Before You Owe”
  • Health Insurance Portability and Accountability Act (HIPAA) and unauthorized disclosures of protected information
  • CMS Conditions of Participation for hospitals
  • compliance with accreditation standards for healthcare entities
  • non-disclosure and non-solicitation agreements
  • duties and responsibilities of corporate officers
  • incentive programs and executive compensation
  • subpoena responses and responses to CFPB and other governmental agency demands
  • new product development and implementation, including vendor due diligence
  • investments and fiduciary responsibilities, including trusts, broker-dealers and investment advisors

Primary Firm Contact(s) for this area of law:

Tom C. Vincent II Shareholder 918-595-4857 E-Mail Download vcard
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