Valenti Hanley PLLC

How to prepare for a regulatory investigation

Is your company ready for a regulatory investigation?

Regulatory investigations can be very stressful. Your business is legally required to register if it operates in the securities industry. Most investigations are opened for noncompliance. If not, you will find some important preparation tips for a regulatory investigation so you don't miss anything that could prevent charges from being filed.

  1. You need to define the roles of your team as quickly as possible so that you will be able to respond to changes in the investigation. Only put trusted employees on your investigative team so you do not experience a letdown.
  2. Keep audit logs during the entire investigation. The logs should include the names of all employees involved, their duties, their rank, their roles and their objectives throughout the investigation.
  3. As you get ready for key document review you need to prepare reference documents that support this part of the investigation. This should include any copies of regulatory requests, lists of all employees and their roles and a glossary of all terms related to your company.
  4. You also need to establish a communication regime within your investigation team. There need to be reports issued to your company's board of directors, shareholders and other members of the management team. Schedule meetings for every two to four weeks during the investigation.

Now that you know what is needed for a regulatory investigation you can make sure all the proper documentation is available and the right people in the company are put into the right positions. It's also important to work with an attorney who focuses solely on regulatory compliance.

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Valenti Hanley PLLC
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Louisville, KY 40202

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