Regulatory Pressure?
We Build Compliance Programs That Work.
The DOJ evaluates whether your compliance program is real or just paper. We build programs that pass that test -- and protect your business from enforcement actions before they start.
Serving businesses across New York, New Jersey & Connecticut
24+
Years Experience
Multi-State
Jurisdictions
100%
Confidential
B2B
Business-Focused
Key Takeaways — Regulatory & Corporate Compliance
- • Federal Sentencing Guidelines Ch. 8: an effective compliance and ethics program in place at the time of an offense can reduce organizational fines by up to 95% — companies without one face full prosecution exposure and maximum penalty ranges
- • The DOJ Evaluation of Corporate Compliance Programs asks three questions: (1) Is the program well-designed? (2) Is it applied earnestly and in good faith? (3) Does it work in practice? Prosecutors can offer declinations or DPAs when all three are satisfied
- • SEC enforcement set a decade record in FY2023: $2.6B in penalty recoveries across 784 enforcement actions — targeting companies of every size across all sectors
- • Reactive enforcement response costs organizations on average 3× more than building a proactive compliance program before regulators arrive
- • FCPA (Foreign Corrupt Practices Act) applies to any U.S. company with international operations, agents, or intermediaries — anti-bribery and accounting obligations exist regardless of company size
- • All compliance assessments and internal investigations are protected by attorney-client privilege from the first conversation — candid fact-gathering does not waive privilege
- • Related legal resources: securities compliance and legal encyclopedia
Compliance & Governance Services
What We Do for Your Business
Compliance Program Development
Build DOJ-aligned compliance frameworks tailored to your industry, risk profile, and regulatory environment.
Internal Investigations
Conduct privileged internal investigations that satisfy regulators while protecting corporate interests.
Corporate Governance Advisory
Structure board oversight, committee charters, and officer duties to meet state and federal governance standards.
Regulatory Audit Preparation
Prepare documentation, train personnel, and run mock audits so your organization is ready before regulators arrive.
Whistleblower Program Design
Design compliant reporting channels and anti-retaliation policies that meet Dodd-Frank and SOX requirements.
Risk Assessment & Management
Identify, quantify, and mitigate regulatory risks across operations with enterprise-level risk frameworks.
Board & Officer Training
Deliver fiduciary duty training, compliance certifications, and governance workshops for leadership teams.
Enforcement Defense
Defend your organization against SEC, DOJ, and state AG enforcement actions, investigations, and consent orders.
The Business Case
Why Compliance Matters Now More Than Ever
Enforcement is accelerating. Penalties are increasing. The cost of non-compliance dwarfs the cost of prevention.
$2.6B
SEC Penalties (2023)
Record enforcement recoveries signal intensifying regulatory scrutiny across all sectors.
784
SEC Actions Filed
Enforcement actions reached a decade high, targeting companies of every size.
95%
Penalty Reduction
Maximum fine reduction available under Federal Sentencing Guidelines for effective compliance programs.
3x
Reactive vs. Proactive
Responding to enforcement costs on average three times more than building a compliance program proactively.
Key Takeaways: Regulatory & Corporate Compliance
- •The DOJ's Evaluation of Corporate Compliance Programs is the prosecutorial framework that determines whether your compliance program is effective — it evaluates design, earnest implementation, and real-world operational effectiveness
- •Under Federal Sentencing Guidelines Chapter 8, an effective compliance program can reduce organizational fines by up to 95% — and may persuade the DOJ to decline prosecution entirely or offer a deferred prosecution agreement
- •Paper policies alone do NOT satisfy the DOJ framework — programs must be operationally implemented with employee training, monitoring, reporting channels, and ongoing testing to demonstrate they actually work
- •FCPA anti-bribery and accounting provisions apply to all U.S. companies with international operations, agents, or third-party intermediaries — enforcement has expanded dramatically; FCPA investigations average $150M+ in fines for non-compliant companies
- •SEC enforcement actions hit a decade high with $2.6B in penalties and 784 actions filed in 2023 — reactive enforcement response costs on average 3× more than proactive compliance program buildout
- •All compliance assessments, internal investigations, and advisory work are protected by attorney-client privilege from the first conversation — your regulatory exposure stays confidential
Getting Started
Three Steps to Compliance Confidence
Call or Click
Reach us at (516) 750-0595 or submit a confidential inquiry through our contact form. We respond within one business day.
Free Compliance Assessment
We evaluate your current regulatory exposure, identify gaps in your compliance posture, and outline a prioritized action plan -- no obligation.
We Build Your Program
We design, implement, and maintain a compliance program calibrated to your industry, risk profile, and growth trajectory. Audit-ready from day one.
Why Tenenbaum Law
Compliance Counsel That Understands Your Business
Regulatory compliance is not a checkbox exercise. It requires counsel who understands both the legal framework and the operational realities of running a business. With 24 years of practice across litigation, insurance, and corporate advisory, we bring a perspective that pure compliance shops cannot match.
Multi-Jurisdictional Practice
We advise businesses operating across New York, New Jersey, Connecticut, and federal regulatory regimes -- navigating overlapping compliance obligations.
Cross-Industry Experience
Financial services, healthcare, insurance, fintech, real estate, manufacturing -- we adapt compliance frameworks to your sector's specific regulatory landscape.
Audit-Ready Documentation
Every policy, procedure, and training record we produce is structured for regulatory examination. When auditors arrive, your documentation speaks for itself.
Confidential Counsel
All compliance assessments, internal investigations, and advisory work are protected by attorney-client privilege. Your regulatory exposure stays between us.
"Jason's team built a compliance program that survived a full regulatory audit without a single finding. That kind of preparation gives our board real confidence."
CFO, Mid-Market Financial Services Firm
Multi-State Compliance Engagement
Regulatory Landscape
The Frameworks We Navigate
Our compliance programs are built against the specific statutes, guidelines, and enforcement frameworks that govern your business.
DOJ Evaluation of Corporate Compliance Programs
The prosecutorial framework for determining whether a company's compliance program is effective, well-designed, and applied in good faith.
Sarbanes-Oxley Act (SOX)
Financial reporting controls, audit committee requirements, whistleblower protections, and CEO/CFO certification obligations for public companies.
Foreign Corrupt Practices Act (FCPA)
Anti-bribery and accounting provisions governing U.S. companies with international operations, agents, or third-party intermediaries.
NY Business Corporation Law
Governance requirements for New York corporations including board duties, shareholder rights, indemnification, and fiduciary obligations.
Federal Sentencing Guidelines Ch. 8
The framework that allows up to 95% penalty reduction for organizations with effective compliance and ethics programs at the time of an offense.
SEC Enforcement Framework
Securities regulation enforcement including cooperation credit, self-reporting incentives, and compliance program consideration in settlement negotiations.
Related compliance practice areas:
Common Questions
Regulatory Compliance FAQ
What does a regulatory compliance attorney actually do?
How do I know if my company needs a compliance program?
What is the DOJ Evaluation of Corporate Compliance Programs?
Can an effective compliance program reduce penalties?
What industries do you serve for compliance work?
How much does a compliance consultation cost?
What is the difference between corporate governance and regulatory compliance?
Do you handle SEC and FCPA investigations?
Reviewed & Verified By
Jason Tenenbaum, Esq.
Jason Tenenbaum is a personal injury attorney serving Long Island, Nassau & Suffolk Counties, and New York City. Admitted to practice in NY, NJ, FL, TX, GA, MI, and Federal courts, Jason is one of the few attorneys who writes his own appeals and tries his own cases. Since 2002, he has authored over 2,353 articles on no-fault insurance law, personal injury, and employment law — a resource other attorneys rely on to stay current on New York appellate decisions.
Protect Your Business Before Regulators Act
Enforcement Actions Are Expensive.
Effective Compliance Programs Are Not.
The cost of a regulatory investigation -- legal fees, penalties, operational disruption, reputational damage -- far exceeds the investment in building a compliance program that works. Start with a free assessment.
Confidential. No obligation. Attorney-client privilege from the first conversation.
About Our Legal Practice
The Law Office of Jason Tenenbaum, P.C. has been representing individuals, workers, and businesses throughout Long Island and New York City since 2002. For additional legal background and research on compliance and regulatory topics, see our legal encyclopedia. Attorney Jason Tenenbaum founded the firm, headquartered at 326 Walt Whitman Road, Suite C, Huntington Station, New York 11746. The firm's six attorneys bring over 112 combined years of legal experience to personal injury, employment discrimination, no-fault insurance, and workers' compensation cases. The team speaks English, Spanish, Italian, Japanese, and Russian.
Attorney Tenenbaum has written more than 1,000 appellate briefs, handled over 100,000 no-fault insurance cases, and recovered over $100 million in verdicts and settlements. He is admitted to practice in New York, New Jersey, Florida, Texas, Georgia, and Michigan state courts, as well as multiple federal courts. His 2,353+ published legal articles analyzing New York case law make him one of the most prolific legal commentators in the state. In fact, attorneys, judges, and insurance professionals across all four Appellate Division departments rely on his analysis.
The firm operates on a contingency fee basis for personal injury and employment discrimination cases — you pay no attorney fees unless we recover compensation on your behalf. Every consultation is free and confidential. Our practice areas include car accidents, truck accidents, motorcycle accidents, pedestrian accidents, bicycle accidents, slip and fall injuries, premises liability, medical malpractice, product liability, and dog bites. Additionally, we handle construction accidents, wrongful death, employment discrimination, wrongful termination, workplace harassment, wage and hour violations, no-fault insurance disputes, and workers' compensation claims. Call (516) 750-0595 for a free consultation.