Ethics & Compliance
Providing comprehensive ethics and compliance strategies
Proactive measures are essential to understanding and addressing the risks associated with ethics and compliance. Startups, established companies and organizations of all types—especially in highly regulated industries—are under increasing pressure from investors, regulators and customers to maintain a strong culture of compliance. That’s where Brownstein can help.
With an experienced team that includes former corporate compliance officers, in-house counsel at regulatory agencies and federal and state prosecutors, we assist clients in designing and implementing ethics-based compliance programs addressing a broad range of risks. Our attorneys offer trusted counsel on policy development, ensure adherence to laws and regulations domestically—at both federal and state levels—and internationally, support crisis communications, and represent clients in enforcement proceedings. Our team also conducts risk assessments, internal reviews and investigations of misconduct as well as routinely provides trainings on relevant issues for employees, c-suite executives and public company boards of directors. Our goal is to help clients assess and mitigate risks in a way that increases efficiency and profitability while ensuring legal compliance and reputational integrity.
Our experience

What We Do
Brownstein’s ethics and compliance team assists clients with the design and implementation of ethics-based compliance programs, including:
- Conducting risk assessments to identify key areas requiring compliance policies.
- Developing and refining codes of conduct and related compliance policies.
- Maintaining thorough documentation of compliance programs and policies.
- Creating and executing whistleblowing programs to ensure safe reporting channels.
- Establishing monitoring and auditing procedures, including reporting systems, to assess program effectiveness.
- Developing frameworks for disciplinary actions, program updates and corrective measures.
- Providing oversight of compliance and ethics programs at the board and management levels.
- Act as monitors overseeing compliance programs.

Areas of Expertise
- Anti-corruption, including Foreign Corrupt Practices Act (FCPA)
- Anti-money laundering, including Bank Secrecy Act (BSA)
- Antitrust and competition
- Corporate compliance
- Data privacy and cybersecurity
- Federal and state campaign finance and elections
- Federal and state securities laws
- Foreign Agents Registration Act (FARA) compliance
- Gaming regulatory
- Human resources