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Legal Risk Management
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Flashcards
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Legal Hold Procedures
Preserve all forms of relevant information when litigation is foreseeable.
Conflict of Interest Policies
Create and enforce policies to manage and mitigate conflicts of interest.
International Trade Compliance
Comply with laws governing the import and export of goods and services across borders.
Product Liability
Minimize risk associated with product manufacturing and distribution.
Anti-Money Laundering (AML) Policies
Develop robust systems to prevent, detect, and report money laundering activities.
Financial Compliance
Implement policies and procedures that ensure financial activities are conducted in accordance with the law.
Corporate Governance
Promote transparent and responsible company operations and control mechanisms.
Supply Chain Compliance
Ensure all components of the supply chain meet legal standards and ethical practices.
Whistleblower Protection
Implement systems to protect individuals who report misconduct or noncompliance.
Intellectual Property Rights
Protect creations of the mind by ensuring legal attribution and exclusive rights.
Merger & Acquisition Compliance
Ensure compliance with legal requirements throughout the M&A process.
Information Governance
Implement frameworks for managing corporate information in compliance with regulatory, legal, risk, and operational requirements.
Consumer Protection Laws
Adhere to laws designed to ensure fairness and prevent fraud in consumer transactions.
Compliance Programs
Implement structured policies to ensure operations comply with legal requirements.
Insider Trading Policies
Prevent illegal trading of a corporation's securities by those with access to non-public information.
Ethics and Integrity Training
Cultivate a culture of ethical behavior and ensure that employees understand compliance obligations.
Risk Analysis and Quantification
Identify, measure, and prioritize the company's exposure to legal risk.
Regulatory Change Management
Keep abreast of and adapt to changes in laws and regulations.
Tax Compliance
Ensure accurate reporting and payment of taxes in accordance with laws and regulations.
Due Diligence
Conduct comprehensive assessments of business activities to identify legal risks.
Strategic risk
Manage risks that affect or are created by business strategy decisions.
Contract Management
Systematically and efficiently manage contract creation, execution, and analysis for maximizing operational and financial performance.
Environmental Compliance
Adhere to laws and regulations that protect the environment.
Operational Compliance
Ensure all aspects of operations are conducted in accordance with the law and industry standards.
Litigation Risk
Implement strategies to reduce the likelihood of legal disputes.
Recordkeeping and Reporting Requirements
Maintain accurate and timely records to meet legal and regulatory requirements.
Third-Party Risk Management
Safeguard against risks posed by vendors, contractors, and partners.
Data Protection and Privacy
Implement measures to comply with data protection laws and regulations to protect personal information.
Anti-Bribery and Corruption
Establish controls to prevent, detect, and address bribery and corrupt practices.
Employment Law Compliance
Ensure adherence to laws governing employer-employee relationships.
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