Compliance, Controls & Risk Management: Moore & Van Allen

Overview

No matter the business model, the most successful companies over time have effective risk management and compliance controls. Whether the client is a major manufacturer or an emerging Fintech, systems and controls must exist to identify risks, define the enterprise appetite for them, and operate controls to manage risk within the established limits. At MVA, our group of lawyers are cross trained in the understanding, defining and interpreting of applicable standards for effective risk management process. We have and can efficiently understand each client’s internal and external environments. Applying established risk management standards, we review existing risk management structure and define applicable requirements, providing advice on the state of each client’s capabilities and governance. We consider the client’s current effectiveness as well as its flexibility and ability to meet emerging risks and business changes. Our focus is on achievable change, executable by management, overseen by boards of directors, and acceptable to applicable stakeholders, including regulators and policy makers. Our group can deliver directly or as part of a group including business consultants and other law firms.

Compliance with applicable law and regulation across all operations is both salutary and mandatory. Whether it is cross industry requirements like the Foreign Corrupt Practices Acts, or securities and bank specific regulation, every organization faces a web of applicable laws, regulations and guidelines. Regulators expect effective compliance systems, often considering the outcomes after the fact. Our interdisciplinary group can and does work from the enterprise to the business and product level. From explaining the applicable law and regulations to considering emerging guidance and policy maker’s expectations, we advise on the capabilities and effectiveness of compliance controls. Based on our experience across multiple industries and companies large and small, we advise on improvements and change that meet current and expected requirements. As with risk management, we are comfortable and capable of working directly with the client, consultants and other law firms.