Regulatory Inquiries Support and Service

The volume and complexity of regulatory inquiries continues to increase and firms are challenged to meet the increased demand in a timely and comprehensive manner.  We can provide staff who have specific experience with responding directly to inquiries as well as managing compliance groups responsible for inquiries and examinations.  J&J can also assist with temporary increases in EBS inquiries by logging and processing such requests in order to reduce the burden on internal compliance staff.  We can also assist with risk management pertaining to regulatory inquiries by providing regular reports summarizing and categorizing key metrics concerning the volume, nature and asset types that are the subject of the inquiries.

Temporary Retained Services

Our staff can provide your firm with short term assistance with regulatory inquiries to ensure that the responses are provided timely while reducing any existing backlog.  These requests include standard EBS requests, follow up requests post-EBS response, trade reporting reviews, sweep letters, etc.  Our staff has the experience and knowledge to gather the necessary information and documentation in order to prepare draft responses for review by your compliance management.

Project Based Assistance

We can also partner with your firm’s compliance staff on complex inquiries or prepare productions as part of a regulatory examination.   Our service would include documents gathering, document review prior to production, drafting written responses and project management.  

Contact us today and we can discuss how the J&J Regulatory Compliance team can assist your compliance staff with their specific needs and challenges concerning regulatory inquiries and examinations.