Regulatory Compliance

All businesses must conform to some degree of regulatory compliance, taking into account the relevant laws, rules and regulations that apply to that particular industry. 


These requirements may be based on federal, state or local laws, as well as the type of business and its operations. For example, if your business has employees, you are then subject to Department of Labor requirements. If you are a financial advisor, you may have the SEC and FINRA to contend with. Of late, the recent series of well-publicized data breaches (e.g., Target, Facebook) has given rise to new rules requiring businesses to take steps to protect customer data and confidential information.

The best approach is a proactive one. Do you have reasonable policies and procedures in place to address the applicable requirements? Are those procedures being followed? These are key components with any regulatory inquiry. Moreover, as these types of inquiries are often triggered by customer complaints, it is critical to ensure that any such report is appropriately investigated and responded to.

If your business becomes subject to a complaint, regulatory examination, inquiry, or request to provide information, the assistance of professional counsel can be critical in ensuring the most appropriate response, and the mitigation of potentially adverse consequences to the business.  

Good compliance is good business. How you address your compliance obligations at the outset, and how you handle any inquiries going forward, are integral to your ultimate success.

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