Regulatory Compliance

Regulatory compliance is the goal that corporations or public agencies aspire to in their efforts to ensure that personnel are aware of and take steps to comply with relevant laws and regulations.

Case Study

Securities Investment Compliance Expert

A securities investment compliance expert was needed for a class action securities fraud action involving a financial services investment company.

Case Study

Credit Scoring Expert in Fair Credit Reporting Act

A credit scoring expert was needed for a class action suit alleging breach of the Fair Credit Reporting Act.

Case Study

Information Security Expert – POS Credit Card Processing

An information security expert with experience in point of sale credit card processing was needed for an action claiming violation of the Fair Credit Reporting Act.

Case Study

Banking Industry Expert in Regulatory Compliance

A banking industry expert was needed to consult on banking regulations and industry standards for a securities fraud class action.

Case Study

Regulatory Compliance Expert in Securities Trading

A regulatory compliance expert was sought for a securities investigation against an auditing firm concerning the disclosure obligations of an auditor.

Case Study

Records Management Expert in Competitive Intelligence

A records management expert with competitive intelligence experience in the pharmaceutical industry was needed for a Freedom of Information Act case.

Case Study

Retail Banking Expert in FCRA Compliance

A retail banking expert familiar with Fair Credit Reporting Act compliance was needed for a case alleging breach of fiduciary duty and willful negligence.

Case Study

Insurance Regulations Expert in Exclusion Clauses

An insurance regulations expert in exclusion clauses was needed to opine on pre-existing conditions for a class action suit alleging bad faith.

Case Study

Credit Card Securitization Expert in Due Diligence

A credit card securitization expert was needed for an action alleging fraudulent inducement and breach of fiduciary duty.

Case Study

Wastewater Engineering Expert in Land Application Systems

A wastewater engineering expert in land application systems was needed to consult on regulatory compliance.