Law firms and legal departments
Advice that turns on whether encryption was in place, whether access was controlled, and whether a program was reasonable.
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Regulatory and Legal Compliance
The technical facts behind a legal obligation
Regulations are written in legal language and satisfied by technical controls. We measure those controls for law firms, corporate legal departments, and the clients they advise, and produce findings counsel can rely on when advising, responding to a regulator, or preparing for litigation. Data Fiduciaries is not a law firm and does not provide legal advice.
Frameworks and standards in this practice
- GDPR
- US state privacy laws
- GLBA and FTC Safeguards
- NYDFS Part 500
- SEC and FINRA
- SOX
- HIPAA
- NIST SP 800-171
- CMMC
- FedRAMP
Who it is for
Three situations this practice answers
Regulated organizations
Obligations under privacy, healthcare, financial services, or government contracting rules that have to be demonstrated control by control.
Organizations under inquiry
A regulator or examiner has asked a technical question that needs an accurate and defensible answer.
What it solves
The problems clients bring to this practice
- Counsel must advise on whether security was reasonable, and nobody has measured the facts.
- Several regimes apply at once and only the differences between them actually matter.
- A contract promises security commitments the organization may not be able to meet.
- A regulator's technical question is being answered by the team whose work is under examination.
- A matter needs technical analysis that will survive cross-examination.
What you receive
Named deliverables, not a summary of findings
Every engagement in this practice produces artifacts somebody outside your organization can read and rely on.
- A requirement-by-requirement control assessment against the named statute, regulation, or contract.
- A written reasonable security opinion prepared for reliance by counsel.
- A privacy program assessment covering data mapping, records of processing, impact assessments, consent, data subject request workflows, retention, and vendor oversight.
- A HIPAA Security Rule risk analysis and safeguard assessment with a remediation plan.
- System security plans and plans of action and milestones for government contractor requirements.
- Consulting expert analysis under counsel's direction, or a testifying expert report with deposition and trial support.
- A technical review of security exhibits, data protection agreements, audit rights, and breach notice terms.
How an engagement works
The sequence, and what each step produces
Described as a sequence rather than a schedule. Duration depends on scope, and is agreed in the statement of work.
01
Retain
Counsel retains and directs the work where privilege is intended.
02
Scope
Identify the statute, regulation, or contract the assessment will measure against, requirement by requirement.
03
Assess
Test the controls as actually implemented and record the evidence behind each finding.
04
Report
Deliver the findings in the form counsel needs: an opinion, a remediation plan, a regulator response, or an expert report.
Services
12 services in this practice
Each has its own page setting out what it covers, who it is for, and what you receive.
- Regulatory Technical Control AssessmentTechnical controls assessed requirement by requirement against a named statute or regulation, producing findings counsel can rely on with regulators.Regulatory
- Privacy Program Development and AssessmentBuild or assess your privacy program: data mapping, records of processing, DPIAs, consent, data subject request workflows, retention, and vendor oversight.Regulatory
- Privacy Regulatory ReadinessGap assessment against GDPR, the Texas Data Privacy and Security Act, CCPA and CPRA, and other state privacy laws, focused on the differences that matter.Regulatory
- Financial Services Regulatory AssessmentControl assessments for GLBA and the FTC Safeguards Rule, NYDFS Part 500, FINRA, SEC cybersecurity rules, and SOX IT general controls.Regulatory
- Healthcare Regulatory AssessmentHIPAA Security Rule risk analysis and safeguard assessment, business associate review, and a remediation plan focused on the issues regulators cite most.Regulatory
- Government Contractor ComplianceReadiness for CMMC, NIST SP 800-171, DFARS, FedRAMP, StateRAMP, and TX-RAMP, including system security plans, POA&Ms, and authorization packages.Regulatory
- Regulatory Inquiry and Examination SupportTechnical support under counsel for inquiries and examinations by state attorneys general, the FTC, HHS OCR, the SEC, and banking regulators.Regulatory
- Consulting Expert ServicesPrivileged technical analysis for counsel as a consulting expert: evaluating positions, supporting discovery on technical matters, and case preparation.Regulatory
- Expert Witness ServicesTestifying expert services on security practice, control adequacy, incident causation, and industry standards, including reports, deposition, and trial.Regulatory
- Reasonable Security OpinionsA written assessment of whether your program meets the reasonable security standard of a statute, regulation, or contract, prepared for reliance by counsel.Regulatory
- Law Firm Security ProgramSecurity for law firms: outside counsel guideline compliance, client security audits, confidentiality obligations, and matter-level data segregation.Regulatory
- Contract and Data Protection Agreement ReviewTechnical review of security exhibits, DPAs, SLAs, audit rights, and breach notice terms, confirming your controls meet what you have promised.Regulatory
Questions
Frequently asked questions
Can an 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?
Privacy laws including the General Data Protection Regulation, the Texas Data Privacy and Security Act, and the California Consumer Privacy Act as amended by the California Privacy Rights Act; financial services rules including the Gramm-Leach-Bliley Act and the FTC Safeguards Rule, NYDFS Part 500, Securities and Exchange Commission cybersecurity rules, FINRA guidance, and Sarbanes-Oxley information technology 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.
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