We have played leading roles in regulatory supervision and examination of market entities, and have overseen remediation of exam findings from the regulators' perspective. We can help organizations and enterprises subject to financial regulation evaluate and enhance compliance and risk management programs, formulate plans for remediation of compliance failures, and monitor remediation progresses. In particular, we can serve as an independent consultant to help companies or firms comply with the undertakings as required in the SEC's administrative orders, including:
Conducting comprehensive reviews of relevant policies, procedures, systems and internal controls;
Preparing and submitting reports to the company or firm and the SEC detailing the review performed, the findings and recommendations for changes or improvements to the policies, procedures, systems and controls, as well as a procedure for implementing the recommended changes and improvements;
Conducting subsequent review to assess whether the company or firm complies with the recommendations and revised policies, procedures, systems and internal controls and whether such policies, procedures, systems and internal controls are effective in achieving their stated purposes; and
Preparing and submitting further reports to the Company or firm and the SEC detailing the findings and recommendations for additional changes or improvements to the policies procedures, systems and internal controls, and a procedure for implementing the recommended changes and improvements.