Tougher Regulations.
Tighter Deadlines. Compliance Solutions for a Challenging Regulatory Landscape

Engineering Compliance Solutions with Your Business Needs in Mind

Get the best of both worlds!

We partner with compliance technology providers who routinely drive compliance with their intuitive technology to create efficient services. You can now combine these services with our team of compliance experts – through onshore, offshore, and hybrid models.

We offer custom solutions for you to choose from. Our solutions prepare you for the challenging regulatory landscape.

• Privacy Management

  Boost your privacy program for CCPA, GDPR & global privacy laws with our comprehensive privacy management solutions. 

  We offer solutions such as

  • Data privacy management and toolkits for privacy regulations, assessments, and training for internal teams and business units
  • Understanding the implications and requirements of new privacy laws
  • Preparing and implementation of CCPA or relevant privacy laws with our privacy management software
  • Vendor Risk Management
  • Incident & Breach Management
  • Data Subject Rights Management
  • Website Scanning & Cookie Consent Management
  • Universal Consent & Preference Management

• Automated KYC Sanction Screening

  In conjunction with our technology partner, we provide an advanced anti-money laundering (AML) KYC sanction screening solution. We proactively help mitigate risks and ensure compliance with a variety of AML and counter-terrorist financing (CTF) regulations.

  We make your KYC and Customer Due Diligence (CDD) programs effective with solutions that:

  • Consolidate customer information from your varied sources
  • Screen for sanctions violations
  • Check for Politically Exposed Person (PEPs)
  • Automate beneficial owner verification, look up, and screening
  • Enable real-time screening from your CRM, like Salesforce, through web services integration
  • Store relevant due diligence documents and reports

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• FINRA Reviews

  Email and social media review is a daunting task. Emails and their attachments fall under the regulatory definition of “written communications” and therefore are subject to the archiving requirements defined within the Books and Records Rule (FINRA Rule 2210).

  Our compliance experts help you review and understand relevant industry-specific regulations and compliance laws with our review and analysis capabilities. We create a comprehensive gap-analysis, and prepare reports required by regulatory authorities (including FINRA and SEC). Next, we conduct audits, and assist with internal investigations and inspections to ensure that you meet all regulatory mandates.

  We help you:

  • Review sales emails, marketing material, website, phone, and social media communications with built-in workflows to stay compliant with FINRA, SEC, and state regulatory requirements
  • Collaborate and develop review protocols
  • Identify and flag potential business and compliance risks

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• Audit Support

  Do you have internal & vendor audit programs, or need help creating them? We have the expertise and knowledge to ensure you’re doing everything required to meet client and regulatory demands. Our independent audits and assessments will help you avoid missed filings, non-maintenance of critical documents, delays, inaccuracies, and data inconsistencies. This reduces legal notices, regulatory prosecution, penalties and fines!

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• AML Compliance

  We work with your legal team to create a compliance framework. In it, we outline regulatory compliance standards relevant to your business processes, and the internal controls your firm has in place to adhere to these standards. Your AML compliance program will be designed to support both your business goals, and compliance obligations.

  This framework includes communication processes, risk controls, and governance practices for maintaining compliance. We identify and eliminate redundant compliance processes, as well.

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• Regulatory Research and Regulatory Dashboard

  Our regulatory research team reviews each regulatory change, and finds relevant updates to establish an accurate legal basis for your compliance program. We perform research that discovers secondary sources to provide relevant regulatory sections.

  We conduct multi-jurisdictional research that includes historical notes and links, presented in an easy-to-read format. Our comprehensive regulatory research dashboard is enabled by Artificial Intelligence (AI) to help your team track regulatory changes in seconds.

  What our regulatory research offers you:

  • Real time access to normalized regulatory content from thousands of sources, across hundreds of different regulatory document types
  • Automatic extraction and surface key attribution
  • Extraction & surfacing of regulations or rules that go through proposed, final, and change stages
  • Link incoming regulatory changes to related pre existing regulations & acts automatically 

• FTC and FDA Label Reviews

  We help you navigate through the Food & Drug Administration (FDA) regulations and the Federal Trade Commission (FTC) guidelines regarding advertising and labeling your food products, cosmetics, or nutritional & dietary supplements. In addition, we also assist you in complying with the rules on how you communicate with your end consumers.

  We provide assistance with

  • Manufacturing and distribution agreements
  • Review of product labels for FDA compliance
  • Research on food & dietary supplements
  • Private label agreements
  • Review of marketing materials and website for FDA and FTC compliance
  • Rules and guidelines for sweepstakes and contests

• Compliance Training & Material Creation

  If you don't implement continuous compliance training, your employees will be unaware of regulatory updates. This impacts regulatory changes for your business, and a failure to spot non-compliance at work.

  A culture of compliance goes beyond just one annual training session. It embeds compliance into everyday workflows, and sets the foundation for employee compliance within your organization. We work with your team to create the compliance material you need for internal distribution and awareness.

  Our training program is structured into 3 phases

  • Step 1 New Starter Training
    • For new employees who have recently joined your organization
  • Step 2 Refresher Training
    • Ongoing training for your current employees
  • Step 3 Special Purpose Training
    • Training on new regulations, internal policies, or your company's new products, services, or technology

• Data Breach compliance support

  A data breach occurs when an individual or an application illegally enters a private or unauthorized IT network. Regardless of size or industry, no company is completely safe against cyberattacks.

  We work with tech partners in our partner program, LegalEase Preferred, to deliver technology that enhances your operational efficiency. It also minimizes the adverse impact on your business in the event of a data breach.

  We support you with

  • Customer breach response
  • Incident and crisis response
  • Privacy program design
  • Breach notification design

• Compliance Processes, Policies and Procedures

  Our compliance experts and attorneys draft compliance policies and procedures that are fully researched to ensure compliance with your company’s specific risk profile and regulatory obligations. Our team invests the time needed to understand the implications and requirements of new regulations, then design policies and procedures accordingly.