Regulatory Compliance & Risk Management

Regulatory frameworks are constantly evolving across sectors and around the world. As transparency rises in importance and the costs of non-compliance with laws and regulations increase, businesses everywhere strive to adapt to the growing pressure from regulatory bodies.

Our clients come to us to understand their responsibilities, to manage risk, and to lessen the impact of complex regulatory regimes on their transactions or day-to-day operations. We commit our resources to helping them meet regulatory requirements while keeping their businesses running smoothly.

We have extensive experience in consumer financial services, mortgage banking,  healthcare, hospitality, alcoholic beverage regulations, land use and development where we advise on all aspects of regulatory compliance and contentious issues.  Our objective is to create sophisticated strategies that safeguard our clients’ assets and reputations and enable them to concentrate on pursuing their business objectives with confidence.

With the ever-present threat of enforcement, many businesses are evaluating their processes to prevent violations that could lead to costly civil and criminal enforcement actions. To this end, Middleberg Riddle conducts internal investigations in addition to providing expert business counseling and guidance. We have assisted companies, working closely with general counsels, in developing compliance programs and in training executives and other employees regarding their responsibilities.