Steps for a Corporate Compliance Program

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Steps for a Corporate Compliance Program

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Bay Area Corporate Compliance Attorney


Once you have a corporation in place, you need to make sure you stay in full compliance with all relevant laws. This requires designing and implementing a comprehensive corporate compliance program, which can be complicated and time-consuming. Let a San Francisco corporate compliance lawyer help.

Assessment – First things first, we help assess your compliance needs. We evaluate which laws apply to each department of your organization.

Developing policies and procedures – Once we understand your needs, we can help design specific policies and procedures to keep each department and role in compliance.

Appointing an officer – You should appoint a compliance officer who provides oversight and leadership regarding compliance efforts.

Training – All employees should receive training on the policies and procedures that apply to their individual roles.

Implementing the program – Take necessary steps to put the program into place, including adapting contracts, posting notices and directions, having the compliance officer begin oversight, and more.

Auditing – You should conduct (or have a compliance professional conduct) regular audits to ensure your program is as effective as possible. If you find risks of non-compliance, you will need to adjust the program accordingly.

Reporting – Make sure to have methods for employees to internally report non-compliance or related concerns. These should be clear internal channels without fear of retaliation or retribution.

Preparing for investigations – Should compliance issues arise with authorities, you should be ready for an investigation. Have your records and documentation in order, make sure all employees are aware of their obligations, and make sure you have the right legal counsel.

Speak with a Bay Area Corporate Compliance Attorney

Primum Law Group assists startups of all types throughout Silicon Valley, Redwood City, Palo Alto, Mountain View, San Mateo, and the rest of the Bay Area. If you need assistance incorporating or with compliance programs, contact us for a consultation as soon as possible.

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