Doar Rieck Kaley & Mack

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Investigations & Regulatory Compliance

Proactive Regulatory Compliance For New York’s Business Entities

Financial crime and regulatory violations continue to pose a risk for the security, profitability and reputations of business entities. Mitigating unethical behavior is critical for any enterprise, particularly in the technology-heavy world of the 21st century.

At Doar Rieck Kaley & Mack, we deliver cost-effective solutions to clients throughout New York state who seek assistance with risk management and regulatory compliance. Some of the matters our team handles include:

  • Integrity monitoring
  • Risk management assessment
  • Internal investigations
  • Audits
  • Ethics and compliance programs
  • Policies and procedures and codes of conduct
  • Employee and executive training
  • Third-party compliance

It is not enough to respond retroactively to a compliance gap. Instead, work with Doar Rieck Kaley & Mack to take a proactive stance in anticipating the ever-evolving regulatory landscape.

Knowledgeable Service From Former Prosecutors

Our team members bring a wealth of knowledge in investigation and prosecution. Our attorneys are former state and federal regulators. Their extensive experience prosecuting financial crime grants them invaluable insight when it comes to corporate regulatory compliance.

Representing You In Independent Investigations

Robust regulatory compliance not only helps your company thrive but also protects you in the event of an independent investigation by a regulatory body. From municipal to federal regulators, we understand the processes of external investigations and the criteria for which oversight agencies search. With Doar Rieck Kaley & Mack in your corner, you can rest assured at the prospect of outside scrutiny.

Seek Counsel For Ethics And Compliance

We offer the detailed and forward-thinking service crucial for compliance in today’s world. Contact us at our office in New York City to schedule your initial consultation. To reach us, call 646-396-5439 or send us an email.