Our compliance and risk management practice includes the development and implementation of compliance programs for management and other employees and contractors.


What is an effective legal compliance program?

A legal compliance program brings together an organization's policies, procedures, and other compliance efforts. It should be reasonably designed, implemented, and enforced so that in general, it effectively prevents and detects violations of laws, regulations, and policies; promotes an organizational culture that encourages ethical conduct and commitment to compliance with the law; addresses the specific risks of an organization with concrete actions to reduce or eliminate those risks; and ensures that employees understand and comply with the laws, regulations, and policies that apply to their daily work.

HOW DO I IMPROVE OPERATIONS IN MY BUSINESS?

We help clients navigate an ever-evolving federal, state and local legal and regulatory landscape:

  • Reduce inefficiencies
  • Optimize resource allocation
  • Encourage collaboration
  • Improve competitive advantage
  • Generate valuable information

The hallmarks of an effective compliance program based in implementing core principles to address risk. Once the company has identified its key risks through an initial risk assessment, it should address those risks by adapting and implementing the core elements to fit its particular needs and circumstances. Ongoing identification, adaptation, and implementation are part of the repetitive process that characterizes an effective compliance program.

An effective compliance program includes strong ethical leadership and ethical culture; requires standards of conduct and internal controls and procedures that are reasonably effective in reducing  liability; oversight, autonomy and resources for the program to function; ongoing and active training and communication on

 
Price is what you pay. Value is what you get.
— Warren Buffett

compliance matters; internal reporting mechanisms that encourage communication and provide valuable information for management; incentives and discipline to promote and enforce compliance; a comprehensive process for responding to reports of potential or actual non-compliance; due diligence and oversight of third-party relationships; continuous monitoring and proactive auditing of program effectiveness; and ongoing risk assessment to maintain program effectiveness. 


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Advantages of an effective legal compliance program.

Many companies view compliance as costly, burdensome, and a distraction from the core business. However, many companies are recognizing that an effective compliance program with an integrated framework and strong internal controls can help a company: prevent violations of law and the resulting consequences for the company (such as criminal penalties, civil damages, civil lawsuits, and reputational harm); mitigate liability and reduce costs in the event of violations ; drive efficiencies and create cost savings; and support business growth.

An effective compliance program puts in place internal controls that help prevent violations of the law. Violations can lead to the following severe consequences for a company. These consequences include criminal penalties, criminal indictment and criminal liability for owners, directors, officers and management; civil damages; shareholders suits; private plaintiff lawsuits; business disruption; increased legal expenses; heightened government scrutiny; reputational harm; and damage to employee morale.

For these reasons, it is imperative that you implement a compliance and risk management program, especially if your business operate in a highly regulated industry, like home health care or cannabis. Our legal compliance and risk management practice offers:

  • Employment-Related Policies and Agreements
  • Employee Benefits Plans, Policies, and Agreements
  • Third-Party-Related Policies and Agreements
  • Employee Complaints and Compliance
  • Records Management
  • Privacy and Data Security
  • Intellectual Property and Brand Protection
  • Developing and Monitoring Legal Compliance Programs
  • Developing and Monitoring  Privacy Compliance Programs
  • HIPAA Privacy, Security and Breach Notification
  • Workers' Compensation Compliance Support
  • Labor and Employment Issue Support
  • Social Media Usage Plans
  • Advertising and Marketing Plan Legal Support

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A legal compliance program as a strategic business partner.

The compliance program requires the support of both the company's leadership and its business teams to be effective. To help cultivate this support, the compliance function should demonstrate that it can contribute to the company's profitability and growth. This requires the company to define compliance as a business-enabling function; align compliance efforts with the company's overall business priorities; view compliance risks from a business perspective; and integrate compliance personnel (such as the Chief Compliance Officer (CCO)) as strategic partners to the business.

Compliance, as a cross-departmental, enterprise-wide function, can serve as a key strategic partner. Senior management and in-house counsel can use compliance to identify and remedy potential problems in the company's infrastructure and strategy.

 

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Businesses that neglect to employ professionals to address legal matters that come with growing a successful business open themselves up to risks that, in some circumstances, defeat the purpose of forming and maintaining the business in the first place. We offer a variety of legal representation plans to mitigate these risks. Each plan is built on our core principles: a simplified approach that builds value. We've eliminated traditional barriers so we can deliver cost-effective, yet robust solutions that are typically reserved only for the wealthiest clientele.

Our compliance and risk management practice offers one-off transactional support representation, as well as continued representaiton for businesses that would like to make our team part of their own. Our business representation plans include the Foundation, Growth and General Counsel plans listed below.


Foundation

Our entry level plan for those looking for basic business start up services, limited intellectual property and operations support, as well as annual corporate maintenance.

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Growth

Our mid-level plan, which includes everything in the Foundation plan, as well as additional intellectual property and more involved operations support, annual corporate maintenance, and ongoing contract review.

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General Counsel

Our advanced plan, which includes everything in the Growth plan, as well as ongoing trademark/ copyright protection, contract review and negotiation, corporate maintenance and compliance, HR/Management support, and advisor coordination.

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Frequently Asked Questions → 

Disclaimer: The above services are limited to transactional representation only, and do not include representation related to expected or on-going litigation.


Not enough? We can design a custom maintenance plan for you.


Meet your Orange County, California compliance and risk management lawyers.

 schlau rogers estate planning business law orange county california laguna beach attorneyOUNTY

Tom YackoOf Counsel

Orange County compliance and risk management attorney.

 
 schlau rogers estate planning business law orange county california laguna beach attorney

Joshua Rogers, Principal

Orange County compliance and risk management attorney.

 
 schlau rogers estate planning business law orange county california laguna beach attorney

Matthew Schlau, Principal

Orange County compliance and risk management attorney.

 

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Navigate the regulatory landscape with an organized compliance plan.


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© 2018 SCHLAU|ROGERS is a California based estate planning and business law firm, serving Laguna Beach, along with all of Orange, San Diego, Riverside, and Los Angeles counties. All rights reserved.