CLG maintains a competitive advantage by providing compliance support within the purview of an attorney client privilege. This attorney client privilege protects your legal advice from disclosure to regulatory agencies, enforcement authorities and opposing parties in litigation. This protection is crucial to allow you to seek legal guidance on potential compliance issues without fearing that your proactive efforts to comply with the law could later be used against you.
Compliance Yimy Chirinos
We structure supervisory and compliance programs including customized, risk-based and practical compliance policies and procedures and code of ethics. We draft supervisory controls and compliance procedures from a best practice standard with first-hand knowledge of how regulators and investors examine and evaluate the soundness of a compliance program. We prepare customized attestation and disclosure forms, including, new account forms, compliance forms, supervisory forms, attestation forms, and employment forms.
We prepare compliance training materials and conduct firm wide employee training to keep associated persons up to date on firm, regulatory and industry related priorities. We also assist with annual needs analysis and written training plans based on size, structure, scope of business and regulatory concerns.
We provide continuous regulatory and compliance counseling and partner with clients to develop and implement streamlined, practical solutions, for their day-to-day operations. We also conduct periodic reviews, annual reviews, and look-backs of various compliance areas, including the following:
We counsel clients on the laws and regulations that impact AML compliance, including the Bank Secrecy Act, USA PATRIOT Act, FinCEN regulations, OFAC sanctions and criminal money laundering statutes. We assist clients in designing an AML compliance program, incorporating best practice that meet with regulatory approval, conducting compliance audits and providing training on customer identification programs, know your customer, enhanced due diligence, suspicious activities reports, bank secrecy reporting, OFAC/control list compliance, and other information requests from the U.S. government.[/fusion_tabs]