Regulatory and Legal Compliance Assessments

Regulations are written in legal language, but they are satisfied by technical controls and operational processes. We measure those controls for law firms, corporate legal departments, and the clients they advise, producing findings counsel can rely on when advising clients, responding to regulators, or preparing for litigation.

Engagements in this practice frequently operate under attorney direction and, where counsel establishes it, attorney-client privilege and work product protection. We also serve as consulting and testifying experts on matters of security practice, control adequacy, and incident causation.

Services in this practice

• Regulatory Technical Control Assessment. Technical controls assessed requirement by requirement against a named statute or regulation, producing findings counsel can rely on with regulators.

• Privacy Program Development and Assessment. Build or assess your privacy program: data mapping, records of processing, DPIAs, consent, data subject request workflows, retention, and vendor oversight.

• Privacy Regulatory Readiness. Gap assessment against GDPR, the Texas Data Privacy and Security Act, CCPA and CPRA, and other state privacy laws, focused on the differences that matter.

• Financial Services Regulatory Assessment. Control assessments for GLBA and the FTC Safeguards Rule, NYDFS Part 500, FINRA, SEC cybersecurity rules, and SOX IT general controls.

• Healthcare Regulatory Assessment. HIPAA Security Rule risk analysis and safeguard assessment, business associate review, and a remediation plan focused on the issues regulators cite most.

• Government Contractor Compliance. Readiness for CMMC, NIST SP 800-171, DFARS, FedRAMP, StateRAMP, and TX-RAMP, including system security plans, POA&Ms, and authorization packages.

• Regulatory Inquiry and Examination Support. Technical support under counsel for inquiries and examinations by state attorneys general, the FTC, HHS OCR, the SEC, and banking regulators.

• Consulting Expert Services. Privileged technical analysis for counsel as a consulting expert: evaluating positions, supporting discovery on technical matters, and case preparation.

• Expert Witness Services. Testifying expert services on security practice, control adequacy, incident causation, and industry standards, including reports, deposition, and trial.

• Reasonable Security Opinions. A written assessment of whether your program meets the reasonable security standard of a statute, regulation, or contract, prepared for reliance by counsel.

• Law Firm Security Program. Security for law firms: outside counsel guideline compliance, client security audits, confidentiality obligations, and matter-level data segregation.

• Contract and Data Protection Agreement Review. Technical review of security exhibits, DPAs, SLAs, audit rights, and breach notice terms, confirming your controls meet what you have promised.

How engagements work

Every engagement is scoped individually and conducted under a master services agreement and mutual confidentiality terms. Work begins with a scoping conversation to understand your objectives, constraints, and deadlines, followed by a written statement of work defining scope, deliverables, and timeline. Both parties retain the right to decline an engagement where the fit is not right.

Frequently asked questions

Can your assessment be conducted under attorney-client privilege?

Yes, when counsel retains us and directs the work for the purpose of providing legal advice. Privilege is established and maintained by counsel, and we structure engagement terms, communications, and deliverables to support it.

Which regulations do you assess?

We assess the technical and operational requirements of privacy laws including GDPR, the Texas Data Privacy and Security Act, and the CCPA and CPRA; financial services rules including GLBA and the FTC Safeguards Rule, NYDFS Part 500, SEC cybersecurity rules, FINRA guidance, and SOX IT general controls; the HIPAA Security Rule; and government contractor requirements including CMMC, NIST SP 800-171, FedRAMP, StateRAMP, and TX-RAMP.

Do you provide legal advice?

No. Data Fiduciaries is not a law firm and does not provide legal advice. We provide technical assessment, analysis, and expert services, and we work alongside the counsel who advise on legal obligations.