Michael Volkov – The Volkov Law Group

The Three Lines of Compliance Offense Versus The Three Lines of Compliance Defense

People crave simple solutions to complex problems. No, this is not a political statement, nor do I intend to wade into politics. This statement applies across the board – to business, compliance, government, and other…more
| Commercial Law & Contracts

Compliance, Technology and Data Analytics

Compliance professionals cannot do it alone. Of course, CCOs need compliance staff and the collaboration of business, human resources, legal, financial and audit, and related functions in order to succeed. I have made this point…more
| Commercial Law & Contracts

Lawyers and Culture in the Financial Services Industry

The rise of the compliance profession has had a number of positive impacts on the corporate governance landscape. One of the most important results has been increased focus on corporate culture…more
| Commercial Law & Contracts, International Law & Trade

Legal and Compliance Coordination – An Essential Foundation to an Effective Compliance Program (Part IV of IV)

Here is a profound grasp of the obvious – Lawyers can be difficult people. Some like to condemn the profession in its entirety (and carry with them a collection of lawyer jokes). As an attorney, I beg to differ. Many professions…more
| Commercial Law & Contracts

Getting to Know You, Getting to Know All About You — Business Buy-In to Compliance Functions (Part III of IV)

We all know that a compliance program without business buy-in is, by definition, an ineffective compliance program. The level of business support ranges from “mouthing” support to full-fledged embrace and ownership of compliance…more
| Commercial Law & Contracts, International Law & Trade

Bridging the Gap: Uniting Compliance and Financial Controls (Part II of IV)

A Chief Compliance Officer has a number of important relationships to attend to in the corporate governance landscape. A critical relationship needed to “operationalize” a compliance program is a partnership between a CCO and…more
| Commercial Law & Contracts, International Law & Trade

Operationalizing Compliance – Natural Partners and Breaking Down Walls (Part I of IV)

An effective compliance program is built on internal coordination and relationships. Applying the Justice Department’s terminology, an effective compliance program is one that is operationalized. At first glance, you may think…more
| Commercial Law & Contracts

DOJ’s Compliance Program Evaluation Guidance

The Justice Department’s recent guidance on compliance programs, consisting of 110 separate questions, organized around specific compliance topics, has raised a number of interesting procedural and substantive issues…more
| Commercial Law & Contracts, International Law & Trade

Managing Your Ethical Culture: Measure, Intervene and Remediate

In the wake of ever-constant business scandals (e.g. ZTE, VW, Takata, Odebrecht), chief compliance officers have to refresh their approach and strategy. Everyone agrees, or at least I think they should agree, that a company’s…more
| Commercial Law & Contracts

ZTE Pays the Price for Circumventing Sanctions and Export Controls

Here is a real zinger – clients sometimes do not tell their lawyers the truth. I will wait a minute while you get off the floor because I know everyone is shocked and amazed that this happens. But in the recent ZTE case,…more
| Commercial Law & Contracts, Elections & Politics, International Law & Trade

FCPA Pilot Program Motors On

No one was really surprised when Kenneth Blanco, Acting Assistant Attorney General for the Criminal Division, US Department of Justice, announced last week that DOJ was planning to continue the FCPA Pilot Program past April 5,…more
| Commercial Law & Contracts, International Law & Trade

Compliance and Private Equity: An Oxymoron?

We all enjoy an oxymoron, e.g., army intelligence, compassionate conservative. Some words go together and some do not. When it comes to compliance and private equity companies, you can predict with usual success that private…more
| Commercial Law & Contracts, Mergers & Acquisitions, International Law & Trade, Securities Law

The Two Most important Words in a Compliance Dictionary: Trust and Integrity

Humans have an innate desire to complicate things. When it comes to ideas, professionals are no different – compliance consultants, lawyers, financial advisers and others enjoy solving complicated problems. Such an approach,…more
| Commercial Law & Contracts

Review, Revise and Re-Organize Your Company’s Internal Controls (Part II of II)

Assuming you made it through Part I of this two-part posting about internal controls, we need to consider a new approach to the design and implementation of internal controls…more
| Commercial Law & Contracts

A New Approach to Internal Controls (Part I of II)

The Justice Department and the Securities and Exchange Commission have dedicated more time and energy to understanding a company’s internal controls and enforcing basic requirements that companies maintain effective internal…more
| Commercial Law & Contracts, International Law & Trade, Securities Law
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Areas of Practice
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