Corporate Compliance

We can help our clients mitigate the risks relating to corporate compliance in a most effective and practical ways.  Those risks can all be well handled when we work collaboratively with our clients to design, implement and assess programs to prevent, detect, remediate and minimize violations of laws or regulations of the state, and other misconduct that may prove costly to the organization.  Our designed programs are not isolated, because they are integrated within the organization’s framework for corporate governance and control of risk.  If an organization does not comply well with the laws, regulators and prosecutors can find their chance to bring about enforcement actions, which may even result in a civil penalty or a criminal sentence.

An effective corporate compliance should be advised by litigators who well know what can go wrong.


We develop programs for enterprises that cover legal and fraud risks, as well as specific programs that focus on particular legal requirements, such as antitrust, anti-corruption practices, industry regulations, government contracting, government rules and regulations, privacy, records retention and information governance, immigration, intellectual property, health care fraud prevention, environment issues, occupational safety, and securities laws.  We advise boards and committees on governance matters, including board and committee recruitment and composition, board leadership, director independence, committee charters, corporate governance guidelines, programs and policies, self-evaluations, codes of conduct and succession planning.

Our lawyers also play a big part when it comes to counselling our clients in matters of occasional events, e.g M&A, securities offerings and take-over threats.  Specifically, we work with boards of directors, committees board on their fiduciary duties.  We assist them with the design, structure and advisability of anti-takeover defenses, including advance notice bylaw provisions, staggered boards, and shareholder rights plans.

Legal matters can cover all ranges of business activities, and usually ordinary law firm shall provide a set of principles and advice their clients to follow, literally they presume the facts and do not improvise, effectively fail to catch up with situations.  No longer can a one-size-fits-all approach be suitable for enterprises of different types.  Le & Tran clearly understands the diversity of circumstances that enterprises may face and we form a team specialized in legal corporate compliance to assist and advice our clients with every potential threat that may arise.  In other words, we tailor our assistance to the specific needs of the business.

The followings are some of our corporate compliance and legal risk management work:


•  Assisting in organizational structure such as Board oversight and review processes, and establishing compliance governance at management level

  Providing updates for management levels and committee levels on latest legal requirements

  Setting up appropriate compliance system within a retail store or a factory, or working office

  Assessing and identifying potential areas of legal, regulatory and fraud risk

  Designing and implementing overall compliance and ethics systems

  Creating and reviewing codes of conduct

  Developing programs and procedures aimed at specific risks (e.g. Foreign trade activities, Product false claim)

  Auditing the effectiveness of existing compliance programs as well as auditing for employees’ self-compliance

  Counselling in information and document management issues, including privacy, electronic communications and records retention

  Training for company employees who interact with state or government employees and officials

  Advising on government legal issues including government ethics, information-sharing, real estate, intellectual property, land-use, transportation, human resources, fundraising, and interaction with private organizations

  We also counsel our clients if they wish their products and services can surpass the highest standards of consumer protection laws, anti-corruption laws, securities issuance and trading laws, etc