Regulatory Inquiries

Prepare for an Unexpected Regulatory Inquiry

Whether you’re taking a proactive approach to compliance or responding to an unexpected inquiry letter, regulatory matters must be taken seriously. Foreside can help you prepare for the unexpected regulatory inquiry, deficiency letter, notice to appear, or request to provide documentation – or provide immediate support once you receive a notice. Our team of professionals will guide you through arbitration, regulatory actions, and related form filings. From selection of legal counsel to assisting with written responses to allegation, our seasoned compliance professionals offer the comfort of knowing that regulation issues won’t slow you down, or worse, prevent the normal operations of your firm.

Avoid Common Triggers for Regulatory Inquires

While a regulatory inquiry may come as a surprise, there are a variety of events that often result in investigations. Customer complaints, legal actions including lawsuits, employee terminations, or third party surveillance findings are all cause for concern and could elicit regulatory attention.

Choose the Right Compliance Partner

Foreside offers services including independent review of the cause of the regulatory inquiry, coordinating with legal counsel, drafting responses, and much more. To learn more, contact us below.

Free Consultations

Regulatory compliance is complex. Whether your firm is new to managing compliance requirements or you already have a strategy in place, Foreside can add value to your regulatory compliance plan. Let us prove it – request a free consultation, and we’ll show you how we can support your registration and compliance needs.

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