To understand your business and legal and regulatory compliance operations, Cornerstone Counsel will interview key stakeholders and review key documents, including corporate formation and investor documents, customer and vendor contracts, IT network architecture and data flows, and company policies, processes and controls.
Deliverable: A written assessment of the company’s in-house legal and regulatory compliance operations, including a blueprint for building your baseline in-house legal operations (or closing any gaps).
Below is a list of key substantive legal and regulatory areas, policies, processes and controls and documents that Cornerstone Counsel would review in connection with this assessment:
- Corporate Governance: formation, board, stockholder, investor financing, and M&A documents
- Equity Plan Administration
- Capitalization table and stock transfer ledger
- Compensation plans
- Contract templates: NDAs, customer, and vendor contracts, etc.
- Key customer and vendor contracts
- Company policies, processes and controls
- Human resources and employee benefit plans
- Regulatory compliance
- Data protection and privacy framework
- Policies, processes, and controls, e.g. code of conduct, social media, disaster recovery, cybersecurity playbook, contract review and approval, etc.
- Insurance coverages