Regulatory Examination & Assessment
Structured review of regulatory requirements, records, processes, and identified issues to assess readiness and areas requiring attention
What We Do
Comprehensive Regulatory, Disclosure & Compliance Engagements
Disclosync can manage the full scope of a regulatory, disclosure, and compliance engagement, while also providing customized work based on each client’s specific requirements, documents, risks, and deadlines
Who We Serve
Disclosync supports issuers, asset managers, hedge funds, broker-dealers and other capital-markets participants across regulatory examination, disclosure, compliance review, and filing readiness.
Disclosure & Filing Readiness
Review of disclosure-related work for completeness, consistency, timing, supporting documentation, and overall filing readiness
Regulatory Compliance Review
Assessment of regulatory obligations, documentation, controls, and evidence to identify gaps and strengthen compliance execution
Issue Identification & Resolution
Focused review of inconsistencies, risk areas, and unresolved items, followed by organized steps toward resolution
Comprehensive & Customized Compliance Engagements
Disclosync can manage the full scope of a compliance engagement or provide customized work for specific regulatory, disclosure, review, or filing-readiness needs
Workflow-Enabled Engagements
Technology-enabled workflows may be incorporated where appropriate while maintaining professional review, judgment, and human oversight
How Engagements Are Approached
Clear scope
Evidence-based review
Practical follow-through
- Understand the requirement and the client’s objective
- Review the relevant information, documentation, and context
- Identify gaps, inconsistencies, and risk areas
- Organize the work needed for resolution and readiness
- Keep the engagement aligned with the client’s specific requirements
Need a customized scope?
Disclosync can discuss the matter first and define the engagement around the work that is actually needed.
Contact Disclosync