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Richard Montes de Oca

Richard Montes de Oca


International Business Transactions and Compliance Practice Group Leader

Miami, FL
  • Corporate
    • Series A Preferred Stock Offering for Online Fashion Startup
    • $10 Million Sale of Mobile Latin Ent. Tech Company to Private Equity Firm
    • EB-5/Reg S Securities Offering for Restaurant Hospitality Group
    • Restructure/Sale of Equity in Logistics Company to Foreign Postal Service
    • Securities Counsel to Saudi Family Office for Investment in U.S. company
    • Purchase of Units, Issuance of Convertible Note, and Employment Agreement for Investor in Luxury Company
    • Multi-Billion Dollar Financings of 5 Cruise Ships
    • Led Legal Team to launch new Cruise Line in France
    • Sale of 50% interest in Cruise Line joint venture to German Travel Company
    • Joint Venture with the Haitian Government to develop a Pier for the World’s Largest Cruise Ship.
  • Compliance
    • Compliance Program Design/Advice for Private Equity-Backed Tech Companies
    • OFAC/Venezuela Compliance Assessment, Advice and Training for Public Media Company and Wholesale Club Operator
    • AML Compliance Program for one of the Largest Tech Distributors in the World.
    • AML Due Diligence and Investigation of Brazil Investors in various Real Estate Funds
    • Anti-Corruption/FCPA Compliance Program for Global Cruise Line Port Agent
    • Organized and managed the Compliance & Ethics Committee; participated in the SOX Disclosure Committee
    • Conducted various Risk Assessments and supported global/targeted ERM initiatives
    • Drafted and managed various Corporate Policies, including Code of Ethics, Employee Handbook, FCPA, Antitrust, Insider Trading, Contracts Management, etc.
    • Conducted several investigations on various matters including bribery, fraud, insider trading, employment, supply chain, conflicts of interest, lobbying, etc.
    • Prepared and presented Annual Compliance Plans and Compliance Reports to Executive Management and Audit Committee
    • Implemented ethics hotline system; provided reports to Management/Audit Committee
    • Designed, Developed and Managed digital Records Management Program
    • Developed and delivered live and virtual Compliance Training to employees