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Ethics & Compliance
Industry-leading strategies informed by our global regulatory insight.
Organizations of all sizes and industries must approach compliance proactively to reduce operational and financial risk.
Perkins Coie provides comprehensive ethics and compliance strategies, leveraging extensive regulatory and former government experience.
Drawing on decades of experience, Perkins Coie advises individuals, companies, associations, governments, and international organizations on the ethics and compliance expectations faced by enterprises around the globe. Our lawyers' regulatory, compliance, and enforcement knowledge informs our advice and creative client solutions. Members of our team have served in the U.S. Department of Justice (DOJ), U.S. Department of State, and U.S. Department of the Treasury, as well as other relevant agencies. We have particular experience with regulatory compliance and investigation matters involving high-stakes engagements on a global scale, including developing and implementing ethics and compliance programs, conducting risk assessments, and investigating misconduct.
Our professionals identify and address the risks that matter, partnering with in-house teams to ensure our clients are protected from internal and third-party misconduct. We have helped hundreds of clients assess, develop, and implement a broad range of compliance-related policies and controls that identify and limit risk, including codes of conduct, anti-corruption policies, vendor due diligence procedures, training materials, expense reimbursement procedures, and other internal best practices.
How we help clients
- Anti-bribery
- Economic sanctions
- Anti-money laundering (AML)
- Fraud
- Import and export controls
- Conflicts of interest
- Cybersecurity
- Labor
- Environmental regulation
- Environmental, Social, & Governance (ESG)
- Supply chain compliance
联系方式
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Our team supports clients with internal investigations, policy development, and compliance training, ensuring adherence to U.S. and international regulations, and represents them in enforcement proceedings.
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Foreign Corrupt Practices Act & Anti-Corruption
We regularly work with Fortune 500 companies to conduct internal investigations and establish policies, procedures, training programs, and due diligence practices to ensure compliance with relevant U.S. and foreign anti-corruption laws and minimize a company’s risk profile. We also represent companies and individuals during all stages of enforcement proceedings, from advising businesses on whether to self-disclose a suspected violation to responding to and resolving government inquiries.
Securities Law Compliance
Our lawyers advise public companies at all stages, from the newly public to the Fortune 500, on all manner of U.S. Securities and Exchange Commission (SEC) and stock exchange compliance and disclosure requirements.
Our collective experience enables us to provide efficient and high-value advice on a range of issues, including:
- Regulation Fair Disclosure (FD) issues.
- SEC rule changes.
- Technical disclosure questions.
- ESG disclosure.
- Use of non-generally accepted accounting principles measures.
- Management’s discussion and analysis.
- Compensation discussion and analysis.
- SEC comment letter trends.
- Compliance with stock exchange listing requirements.
- Investor expectations.
We feature our proactive and pragmatic style on our Public Chatter blog, covering the latest securities law, ESG, and corporate governance developments, as well as the topics encountered in daily practice.
Import & Export Control
We advise some of the largest multinational companies and member governments of the World Trade Organization on the international rules and U.S. laws and programs that regulate trade, including remedies targeting imports and customs compliance and export controls.
White Collar & Investigations
Our White Collar & Investigations team conducts internal investigations and advises companies, boards, and individuals in government investigations and prosecutions. Our lawyers include former federal prosecutors and trial-tested defense lawyers who have a deep understanding of the government enforcement arena and have high credibility with prosecutors, regulators, and the courts.
Supply Chain & Corporate Social Responsibility
Perkins Coie is the first Am Law 100 law firm to develop a dedicated practice addressing supply chain and corporate social responsibility compliance. In addition to helping clients find commonsense solutions to emerging compliance challenges, such as third-party due diligence and supply chain transparency laws, our experienced team of compliance professionals enables our clients to capitalize on sustainability and ESG opportunities.
Environmental, Social & Governance
Advising on a broad range of human rights concerns, we assist clients on transactional, risk management, due diligence, litigation, and compliance matters that affect ESG factors.
Data Privacy & Security
Our Privacy & Security lawyers are leaders in U.S. and international privacy, data security, and reporting law. We are well-versed in the wave of new omnibus privacy legislation and security rules at the federal and state levels that require broadly applicable compliance programs.
Working collaboratively with our clients, we develop a comprehensive understanding of how they collect, use, store, share, retain, and otherwise process personal information. We also examine our clients’ security practices, regulatory reporting, and public representations to ensure compliance with sector-specific rules, as well as broader authorities, such as SEC and Federal Trade Commission requirements.
Labor & Employment
Our Labor & Employment lawyers continually monitor developments in employment and traditional labor laws at the federal, state, and local levels and guide clients in maintaining or coming into compliance with current and upcoming legal requirements. This support includes creating and updating policies, contracts, and related internal training. Our experienced investigators regularly architect, direct, and conduct internal investigations into workplace-related conduct in conjunction with in-house counsel, corporate boards, and/or human resources professionals. Our network of relationships with computer and accounting forensic specialists, media and crisis management professionals, and workplace safety consultants allows us the ability to build out the right teams for the specific need.
Sanctions Compliance
Perkins Coie provides advice to clients across industries relating to economic sanctions and AML laws, rules, and regulations to support our clients with:
- Compliance programs.
- Cross-border transactions.
- Conducting internal investigations.
- Enforcement inquiries.
Our global team includes former regulators and industry thought leaders who provide insightful, solution-oriented counsel on fast-moving legal, regulatory, and policy developments.
Anti-Money Laundering & Countering the Financing of Terrorism (CFT) Compliance
Perkins Coie has extensive experience providing regulatory advice on issues involving compliance with the Bank Secrecy Act and AML and CFT requirements, including addressing examination findings, enforcement actions, and specific regulatory questions. Most recently, the team has been focused on ensuring compliance with the AML Act of 2020 and the Corporate Transparency Act (CTA). We have been thought leaders in CTA compliance, providing guidance to some of the largest corporate enterprises with complex ownership structures.
Environmental Compliance & Enforcement
Our environmental compliance and enforcement team provides advice on a wide range of issues, including:
- Water and air quality.
- Discharge issues.
- Handling and disposal of hazardous substances.
- Permit violations and compliance.
- Defense against Clean Air Act; Clean Water Act; Resource Conservation and Recovery Act; Comprehensive Environmental Response, Compensation, and Liability Act; and other government enforcement actions.
Our lawyers know the compliance and enforcement playbook and have experience working with the DOJ, U.S. Environmental Protection Agency, Occupational Safety and Health Administration, U.S. Coast Guard, and state departments of environmental conservation, as well as U.S. Fish and Wildlife Service, U.S. Forest Service, U.S. Bureau of Land Management, and many other federal, state, and local agencies on these matters.
Investment Management
Perkins Coie handles a wide range of issues arising under federal securities laws, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Commodity Exchange Act, and the Securities Exchange Act, as well as related rules and regulations.
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The Compliance Collective
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