Corporate Compliance Attorney: What is corporate compliance?

Sophisticated business operators see a professional compliance program as an investment. In the event of a more severe matter of criminal negligence or fraud by an employee, having a plan and procedure in place (such as contained within a company policy) can reduce the risk of the principal. Having a corporate compliance program in place evidences the firm’s leadership’s intention to apply and adhere to the precautions recommended by government agencies.


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One of the most common mistakes entrepreneurs make is neglecting to include regulatory compliance in the planning stages of a start-up. Reflection on corporate governance at the initial stages can help businesspersons see the broader landscape of opportunities. Attorneys specializing in corporate law and taxation can help guide your commercial entity towards success.

Corporate Compliance may include, but not limited to:

  • matters of taxation and accounting compliance for corporations
  • fund raising for start-up
  • federal and state “Blue Sky Laws”
  • voting in corporations and how to maintain control of entities attracting external investment,
  • documenting deeds of gifts and transfer of personal property,
  • accessing money from retirement accounts,
  • selecting of legal structure for business whether domestically or internationally,
  • undergoing preparation for IRS auditing preparation as a schedule C filer,
  • employment contracts and independent contractor agreements,
  • legal advice in relation to corporations,
  • Sarbanes-Oxley duties,
  • audit committee duties,
  • matters of discrimination in the workplace,
  • workplace safety and environmental law,
  • competition law,
  • security matters including use of surveillance in the workplace,
  • HIPAA a
  • document management,
  • insurance coverage including director liability.

Depending on the size of your business, risk arising from the actions of employees will be relatively high. Compliance with employment law, keeping abreast with industrial relations and the vicarious liability that employers (you) are each challenging. Detailed business planning documents, employment/independent contractor agreements and a company policy are essential. These documents can reduce risk, encourage ethical conduct and assist in making sure your business is compliant.


At Nakase Wade, our corporate compliance attorneys have many years of experience in business practicalities and can evaluate your operational processes for compliance and effectiveness. We specialize in conducting thorough risk assessments and provide recommendations in relation to the current statutory guidelines and case law.

Corporate compliance concerns ensuring that your enterprise is being operated in a lawful manner. Depending on the legal structure of a business, there are annual and even more regular formalities such as meetings and paperwork. Our team will ensure that these proscribed events occur and are documented in a way that best positions your firm and is consistent with federal and state requirements.

Registering a business and on-going taxation and accounting duties

A professional review of your business’s operations is a great first step to mitigating loss from future liability. When ensuring compliance to pre-existing statutory requirements, our team goes one step further suggesting proactive measures to reduce your firm’s exposure to risk. Our firm is also experienced in communicating our findings to directors and other office holders in your business. At the same time, we offer confidentiality and comprehensive suggestions on remedial actions and general legal advice where required.


With offices in Southern California – San Diego County and Orange County – Nakase Wade’s attorney are well-positioned to advise you on regulatory compliance and matters of corporate governance.

With a holistic view of your business, our team aims to save your firm money and reputation in the long run. We tailor services to your firm’s needs offering a full set of services including in-house and online training. By reflecting on the values and ethics that are important amongst your team, corporate compliance attorneys at Nakase Wade can help to create an inclusive and respectful workplace.  Whether it’s compliance with state or federal statutory requirements, data privacy, or responsible human resource management, or even risks specific to your industry, Nakase Wade attorneys will make sure that a penny spent today is many pennies saved tomorrow.


Reference:

https://www.sos.ca.gov/business-programs/business-entities/filing-tips/filing-tips-corp