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Compliance Solutions

For a Challenging Regulatory Landscape

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Tougher Regulations. Tighter Deadlines.​

Helping you Stay Compliant

Mitigate Risk

Establish governance framework to proactively identify, assess, and address potential risks minimizing likelihood of hefty fines and reputational damage

Improve Resource Utilization

Streamline compliance efforts with outsourced expert teams ensuring regulatory adherence while freeing up internal resources.

Accelerate Growth with Expert Guidance

Global specialists delivering dependable, high-quality operations, ensure regulatory compliance with optimized processes and transparent reporting.

Our Compliance Solutions​

Our experts monitor regulatory changes and assist you in maintaining compliance with both external laws and internal guidelines

FINRA Electronic Communication Reviews​
We partner with you to streamline your communication strategy across emails, social media, presentations marketing, and retail. Our insights will help you navigate the complexities of digital communication compliance.
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AML Compliance
We work with your legal team to craft a custom framework that identifies relevant regulations, maps them to your business processes, and integrates internal controls for seamless compliance
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KYC Sanction Screening
Our advanced AML/KYC solution, powered by a leading partner, mitigates money laundering risks &ensures compliance. We proactively help mitigate risks and ensure compliance with AML and counter-terrorist financing (CTF) regulations.
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Compliance Research
LegalEase empowers businesses to navigate the complex legal landscape. We combine traditional legal research with cutting-edge technology to deliver actionable insights on evolving laws and regulations. Our customized compliance research considers your industry, regulatory environment, and internal controls, minimizing legal risks and potential penalties. By staying ahead of regulatory changes, LegalEase helps you gain a competitive edge.
AML Audits
Our compliance audit is aimed at conducting review of your Anti-Money Laundering (AML) program and assess its effectiveness in preventing detecting, and reporting money laundering activities. Our report provides insights for action
Board Meeting Support
We handle the entire process, from agenda and resolution drafting to board package delivery. Our customized dashboard ensures transparency and efficiency.
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Compliance Policies and Procedures Review
Our compliance experts create tailored policies, fully researched, and procedures aligned with your unique risk profile and regulatory obligations.

Case Study

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

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

Result

  • Two key contract types and their processes are now automated
  • Customer data has been migrated from current existing repositories into the current CLM
  • LegalEase solved the client’s complex contracting requirements through detailed Requirements and Design workshops
  • LegalEase and the client partnered to apply a significant Change Management methodology during Phase 1 to support user adoption

Get Expert Insights

Getting Serious About Compliance Dashboards

This article by Tariq Akbar was first published on January 24, 2022 in The Green Sheet Online Edition

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Tariq Akbar
CEO

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