Wealth Mgmt Firm Adheres to Compliance Laws With Thorough Compliance & Regulatory Review

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


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.


  • 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


  • 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 course of 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