PRACTICE AREA
Regulatory issues rarely stay confined to the legal department. A government investigation, compliance failure, whistleblower complaint, cybersecurity incident, or regulatory examination can quickly create legal, operational, financial, and reputational consequences that extend throughout an organization.
Dorwart advises financial institutions, investment advisers, broker-dealers, public companies, energy companies, nonprofit organizations, and other regulated businesses on regulatory compliance, risk management, government examinations, and enforcement matters.
Our lawyers help clients anticipate problems, respond to regulators, investigate potential issues, and build compliance programs designed to reduce risk and support long-term business objectives.
Most regulatory issues do not fit neatly into a single legal discipline. A cybersecurity incident may trigger privacy obligations, consumer notification laws, banking regulations, SEC disclosure requirements, and internal investigations simultaneously. Dorwart helps clients navigate these overlapping issues through a coordinated, practical approach.
Clients value our practical approach, responsiveness, and ability to provide clear guidance in situations that often involve significant uncertainty and time pressure.
Dorwart advises organizations operating in highly regulated industries where compliance obligations evolve constantly and multiple regulatory regimes often overlap. Our experience spans banking and financial services, investment management, energy, healthcare, nonprofit organizations, and public companies. That breadth enables us to recognize regulatory issues that other firms may view in isolation.
Dorwart helps businesses, financial institutions, and multinational companies design compliance programs that reduce regulatory risk and strengthen corporate governance.
Effective compliance programs cannot be built from templates. They must reflect how an organization actually operates, how decisions are made, and where regulatory risk is most likely to arise.
They must reflect how an organization actually operates. Dorwart helps clients design practical compliance systems that support business objectives while satisfying evolving regulatory expectations.
Regulatory issues often arise at critical moments for an organization. Whether responding to a regulatory examination, designing a compliance program, managing a cybersecurity incident, or defending an enforcement action, clients need counsel who understand both the legal requirements and the operational realities of highly regulated businesses. Dorwart helps organizations manage regulatory risk with practical judgment, deep industry experience, and solutions that support long-term business objectives.
Dorwart advised a global energy company regarding the design, implementation, and ongoing enhancement of a comprehensive compliance program addressing anti-corruption, sanctions, and international regulatory risks.
The company operated across multiple jurisdictions in South America, Asia, the Middle East, and North Africa, creating significant compliance obligations and exposure under anti-corruption laws, sanctions regulations, and related international legal frameworks.
The matter required balancing legal requirements, operational realities, commercial objectives, and evolving geopolitical risks. Dorwart conducted risk assessments, developed enterprise-wide compliance policies and procedures, performed third-party due diligence in multiple countries, and provided ongoing advice.
The engagement helped the client strengthen its compliance infrastructure, evaluate high-risk business relationships, and reduce regulatory exposure across multiple jurisdictions.
Led legal response to multiple OCC, CFPB, SEC, FINRA and other regulatory agency examinations, investigations, complaints, and enforcement matters for financial institutions, including banks, broker dealers, and investment advisors.
Developed and authored enterprise-wide consumer complaint system, policy and procedures for national bank pursuant to CFPB and OCC requirements.
Developed and authored enterprise-wide unclaimed property and escheatment program for national bank pursuant to 50-state requirements.
Advised clients in connection with cybersecurity incidents and data breaches, including notification obligations, privileged investigations, incident response coordination, and risk mitigation strategies, including events involving the laws of all 50 states and various international jurisdictions.
Conducted internal investigations involving allegations of anti-corruption violations, anti-competitive conduct, whistleblower complaints, and executive misconduct in both domestic and international settings.
Conducted an internal investigation and successfully defended a publicly traded company against a Sarbanes-Oxley whistleblower retaliation claim brought by a former executive before the U.S. Department of Labor.
Advised clients regarding sanctions compliance, export restrictions, and geopolitical risks, including matters arising from evolving sanctions regimes affecting Russia and Ukraine.
Advised nonprofit and educational organizations regarding healthcare and educational privacy compliance obligations.
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