Compliance and Risk Management

FERRERE’s multijurisdictional Compliance & Risk Management team advises its clients on strategies to manage and reduce risk, including identifying and complying with local and international regulations applicable to their operations, as well as responding to investigations by local regulators and allegations of corporate misconduct.

A multidisciplinary team, composed by legal and regulatory experts from FERRERE as well as business processes and risk management specialists form CPA Ferrere, possesses an in-depth understanding of today’s increasingly aggressive and interconnected regulatory environment, allowing us to advise our clients on complex issues with cross-border implications.

Regulatory compliance, investigations and enforcement

Today’s regulatory environment is increasingly active. The team regularly advises clients on responses to regulatory investigations, including those involving allegations of anti-competitive practices, violations of industry-specific regulations, and corruption, among others. The firm’s multijurisdictional breadth and international experience of its professionals ensure that we appreciate the calculated, multifaceted approach required in today’s interconnected regulatory environment.

FERRERE’s professionals are likewise skilled in identifying compliance risks and designing strategies to minimize the risks of regulatory exposure. We have specialized practice groups for all major regulated activities and industries, including banking and financial services, corporate governance, labor and employment, hydrocarbons and natural resources, import/export and transport and logistics. The firm’s industry and sector experts regularly work with our compliance team to design compliance programs and procedures to minimize regulatory risks head-on.

Risk management

Focusing on risk management practices affords a business the chance to grow stronger and get a jump on competitors facing the same risks. The team has decades of experience in assisting clients to incorporate risk management into their business processes and strategy. FERRERE’s professionals detect risk management issues using a methodological approach, including company-wide risk identification and prioritization, assessment of the organization’s risk capabilities and development of the tools, processes and organizational structures necessary to build a solid and sustainable risk management program. FERRERE attorneys work together with CPA Ferrere risk management professionals to provide a seamless, comprehensive approach to managing legal and other business risks.


Anti-corruption regulations are increasingly common and expansive in scope. The firm’s team is experienced in advising local and multinational companies on compliance with local and international anti-corruption regulations, including the U.S. Foreign Corrupt Practices Act (FCPA). We regularly assist clients in designing, implementing and testing internal compliance and ethics policies and adapting them to local regulations and realities, as well as designing and conducting internal trainings for executives and staff.

In addition, the team regularly conducts anti-corruption due diligence in connection with mergers and acquisitions and other commercial relationships with business partners and third parties.

Anti-money laundering / Anti-terrorist financing

Financial crimes are increasingly scrutinized by global law enforcement. FERRERE’s team is experienced in counseling local financial institutions, as well as other regulated entities, such as insurers, real estate brokers, casinos and construction companies, on compliance with anti-money laundering (AML), Know Your Customer (KYC), anti-terrorism financing (AFT) and other related regulations. The firm has extensive experience designing and testing AML/AFT compliance programs and procedures, conducting training on AML/AFT requirements, and conducting AML/AFT compliance and risk assessments. Many of FERRERE team members hold specialized degrees and certifications in this area.

The firm’s legal team regularly works with professionals from CPA Ferrere, who add their risk management expertise in identifying risks and correcting weakness in internal controls associated with AML/AFT compliance.

Internal investigations

In today’s increasingly transparent world, reports of corporate misconduct are ever more common and corporate vigilance ever more required. FERRERE’s team is experienced in designing and leading internal investigations into allegations of corporate misconduct, and in doing so in a manner that minimizes disruption to the company’s daily operations. In connection with such investigations, we regularly draft reports for corporate boards and committees, including whistleblower and audit committees.

FERRERE also advises its clients on strategies to reduce and minimize the risk of corporate misconduct, as well as detect it when it occurs. The team is skilled in designing internal protocols and procedures to govern whistleblower reports and internal investigations, including protocols for employee relations and document preservation.

© 2017, Ferrere Attorneys