Davis Polk provides advice on a broad range of compliance and advisory issues, including those associated with anti-corruption laws, economic sanctions, anti-money laundering and anti-terrorist financing laws, competition laws and many other regulatory regimes. Our compliance and advisory team offers clients an abundance of experience, including current and former lawyers who have held prominent positions with law enforcement agencies and financial regulators, including the SEC, DOJ, Treasury, FDIC, OFAC and CFTC.
Our lawyers help clients anticipate and comply with the evolving and heightened standards of government regulators.We routinely advise leading multinational corporations on the full spectrum of design, enhancement and implementation of effective compliance programs. We draw on our deep bench of experience when developing policies and procedures.
In conducting risk assessments, we work closely with management, business stakeholders and in-house counsel to identify issues that pose the highest risks for potential violations and to develop a sustainable, best-in-class compliance program that leverages the existing work and resources of the company.
The objective of an effective compliance program is to prevent, detect and remediate potential violations of laws and regulations that pose legal, regulatory, operational and reputational risk to the company. To meet this objective, our methodology includes designing a program with the full lifecycle of compliance in mind, considering all of the key elements, including:
- A risk assessment to determine and rank legal, operational and reputational risk;
- Development of cohesive policies and procedures;
- Implementation of the enhanced compliance program, including communications and training;
- Monitoring and auditing the compliance program;
- Establishing guidance and protocols to respond to new risks as they arise; and
- Evaluating and aligning governance structures.
The firm has developed compliance programs and policies for both public and private companies across various industries, including:
- Aerospace and Defense
- Consumer Products
- Energy: Utilities, Oil and Gas, Coal
- Financial Services
- Food and Beverage
- Hospitality and Travel
- Office Support and Supplies
- Pharmaceutical and Life Sciences
- Private Equity and Investment Funds
- Technology and Software