In today’s high-stakes regulatory environment, effective governance isn’t optional—it’s a competitive advantage. CM Law’s Regulatory, Compliance, & Investigations practice helps companies, boards, and leadership teams navigate complex regulatory frameworks, build resilient compliance programs, and respond decisively when government inquiries or enforcement actions arise.

Our all-partner team brings decades of senior government, in-house, and law firm experience to every engagement—delivering strategic, hands-on counsel grounded in real-world perspective. This allows us to serve as trusted advisors who understand both the legal landscape and the business pressures our clients face. Whether a client needs a comprehensive compliance program overhaul, defense in a government investigation, or practical guidance on emerging regulatory challenges, we deliver integrated, cost-effective strategies tailored to each client’s industry, risk profile, and operational footprint.
Our Regulatory, Compliance, & Investigations core services include:
- Regulatory Counseling & Advocacy — Advising on U.S. and international regulatory frameworks; representing clients in rulemaking, licensing, and government contracting matters; and counseling on data privacy, anti-bribery, sanctions and AML compliance, financial services regulation, healthcare, and FTC advertising enforcement.
- Compliance Program Design & Corporate Governance — Designing risk-based compliance and ethics programs, policies, and procedures; advising on codes of conduct, whistleblower hotlines, and employee training; performing compliance assessments benchmarked against DOJ guidelines; advising boards on governance, conflicts of interest, and fiduciary obligations; and supporting board-level risk management.
- Regulatory Examination Preparation & Support — Advising on best practices to prepare for government examinations and responding to scheduled, ad hoc, or for-cause exams.
- Government and Internal Investigations & White Collar Defense — Responding to subpoenas and enforcement proceedings from DOJ, SEC, and other U.S. and international agencies; counseling on parallel civil and criminal exposure; supporting boards, management, and HR on appropriately scaled internal investigations; and representing individuals, companies, and regulated entities in white collar matters including accounting and auditing, securities offering, insider trading, FCPA and anti-bribery, and trade and export control investigations and litigation.
- Crisis Management & Reputational Risk — Providing rapid-response counsel when matters escalate into media, regulatory, or criminal crises; coordinating legal strategy with communications advisors; advising on disclosure obligations and stakeholder communications; and helping clients protect institutional reputation while managing legal exposure.
- Transactional Due Diligence — Performing regulatory due diligence for M&A, joint ventures, and third-party relationships; evaluating regulatory risk; and supporting deal teams with compliance assessments.
- Digital Assets & Emerging Technology — Advising fintech companies, digital asset issuers and exchanges, and institutional investors on SEC, CFTC, FinCEN, and state regulatory requirements; navigating licensing and registration obligations; and defending clients in enforcement actions arising from digital asset activities.







