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

Shift from a Reactive to a Proactive Compliance Approach

Our team of attorneys and compliance experts will keep you up-to-date with the ever changing regulatory landscape, while managing internal policies. We do all of this, while managing your tight operational budget!

What Sets Our Compliance Solutions Apart?

Manage Risk

Eliminate any risk of hefty fines for accidental exposure and reputational damage by creating a governance structure to respond as required.

Stay Compliant

We help you conduct audits, and assist you with internal inspections to ensure that you are compliant with regulatory mandates.

Free Up Internal Resources

Reduce time spent on internal compliance reviews, so your resources can focus on more pressing compliance needs.

Drive Strategic Growth

Achieve strategic objectives with the support of a global, optimized, transparent and compliant operations team.

Utilize Compliance Talent

Our teams of compliance experts are highly specialized in the regulatory needs of specific industries, and consistently deliver dependable, high-quality work, every time.

Effortless On-boarding

Setting up a pilot is easy!

Our client experience and success program is built to integrate seamlessly with your organization and to not eat into your day with training sessions.

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

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

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!

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.

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.

Don't just take our word for it.

This partnership with LegalEase is a delight for us. I have tried outsourcing in the past and it has not worked for us but the relationship with LegalEase should be a role model and standard on how good outsourcing works.

Head of Compliance Monitoring,

Fortune 500 Investment Bank,

London

KYC Compliance Screening is a crucial step in client onboarding. I decided to first start with a pilot of LegalEase’s KYC process.

The service and hybrid solution was top notch and exceeded my expectations, that I moved from the pilot period to an ongoing service need in 7 days.

General Counsel

E-Commerce Company,

Austin