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Regulatory and Legal Compliance
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.
Frameworks and standards
- SEC and FINRA
What it covers
The engagement in detail
Technical support for organizations responding to supervisory examination, inquiry, or investigation by state attorneys general, the Federal Trade Commission, the Department of Health and Human Services Office for Civil Rights, the Securities and Exchange Commission, banking regulators, or comparable authorities, working under counsel to analyze the technical questions, prepare responses, and assess the defensibility of the control record.
Who it is for
Designed for law firms, corporate legal departments, and the clients they advise.
What you receive
Deliverables from this engagement
- Technical response analysis
- Evidence assembly
- Control defensibility assessment
- Remediation planning
Terms
How an engagement works
Every engagement is scoped individually and conducted under a nondisclosure agreement and a master services agreement, beginning with a scoping conversation and a written statement of work that defines scope, deliverables, and sequence. The four steps this practice follows are set out in full on the Regulatory and Legal Compliance page.
- Meet a regulation or supervisory expectation
- Law Firms and Legal Departments
Regulatory and Legal Compliance
Other services in this practice
Technical assessment behind privacy, healthcare, financial, and government obligations, often under counsel.
- 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
Start with a confidential conversation
Thirty minutes on whether this is the right engagement for the question you have been asked, and what it would take to answer it.