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Criminal Defense Blog Post

Ensuring Regulatory Compliance for Your Business

On July 18, 2013, a grand jury was convened in California to investigate a state election campaign donation of $11 million, following the Supreme Court’s intervention. The Fair Political Practices Commission, who is investigating this donation, suspects the involvement of money laundering.  This suspicion drove efforts to uncover the real source of the donation.

In the business world, regulatory compliance has also become an increasing challenge in recent years, with the advent of Sarbanes-Oxley, the US Patriot Act, and other compliance regulations. Such measures now dictate many of the ways that companies need to operate, with procedures regulating activities from checking for money laundering to record keeping. These compliance constraints bind large and small enterprises alike, and both types will face challenges in ensuring that they comply with their federal, state and local obligations.

To ensure your business operations meet the regulatory requirements, consider implementing these practices:

  • Encourage Integration and Collaboration Where various compliance systems are in place across your business, try to streamline them by creating an integrated approach  involve all relevant employees and encourage their cooperation
  • Examine Your Security Measures — Elaborate and implement procedures to ensure that data remains secure  particularly sensitive information or data relating to transactions
  • Consider Your Privacy Policies—Maintain your customers’ and employees’ privacy with appropriate measures introducing an Electronic Document Management System with encryption capabilities will provide good protection against breaches
  • Introduce Automation — Put automated systems in place to maximize compliance and remove the risks of human error
  • Document What You Do — Keep accurate records of your activities as this will ensure that regulators glean an authentic picture of how the business works
  • Manage Your Information — Make sure that you can locate and control information within the business  in particular, data relating to finances should be transparent and easily traceable

Given the breadth of regulations, consider consulting a corporate attorney to ensure that you implement adequate policies to meet all of your regulatory obligations. Your attorney will also be useful in helping you avoid the penalties which are imposed on those who fail to meet their legal responsibilities.

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Creech Liebow & Kraus
333 West San Carlos Street, Suite 1600
San Jose, California, 95110-2726 USA