Contact Us

Wealth Management Firm Saves 60% Time on Compliance & Regulatory Review with LegalEase 

The client is a wealth management and business advisory services firm that has been in business for over 25 years.

Challenge

The client’s asset management division reached out to LegalEase Solutions, seeking a thorough and immediate review of their existing business code of conduct & ethics. They needed to ensure the document was up-to-date and compliant with current laws, rules, and regulations. This is a principal document for the client, but they did not have the in-house capabilities or resources to ensure compliance with regulatory mandates.

Solution

  • LegalEase Solutions attorneys reviewed the policy document and added recommendations against specific sections by referencing the applicable laws.
  • LegalEase Solutions utilized sample language used by other companies in the industry to offer the client greater insights into their regulatory and compliance measures.
  • LegalEase Solutions initiated a discovery meeting with the client to highlight requirements and revised their policy accordingly.
  • A suggestion put forth by LegalEase Solutions was to create a separate Securities Policy.
  • The client accepted the suggestion and LegalEase Solutions delivered.

Results

  • LegalEase Solutions delivered an efficient and streamlined process that helped the client save 60% of their time.
  • The LegalEase Solutions team provided frequent progress reports to the client during the review process.
  • The client received a fully vetted Code of Business Conduct & Ethics document that is now up to date with current regulatory and compliance measures.