Support. 

Current Coverage: Banks; Broker-Dealers & RIAs; Cryptocurrency Firms; Cybersecurity; Expert Networks / Primary Investment Research; U.S. & Offshore Alternative Investment Management

I. Self-Managed

Your time is valuable. R/APTR (Risk: Assess. Plan. Transfer. Remediate.) modules are built across the Alternative Investment Management and traditional Bank environments for self-directed use.

Risks are pre-populated, as are definitions, assessment considerations and best mitigation practices as you consider design and performance improvements. 

Easy-to-digest user guides and thumbnail suggestions follow you throughout the process. But, we are here to provide early support. First time users may wish to receive orientation on the process and as they incorporate their sector R/APTR into their own firm and department processes. We provide this service.

II. Point-in-Time Assessments

Leveraging the supervisory model of point-in-time and surprise examinations by regulators, Legal Risk Solutions+ can work with Heads of Legal and/or Compliance in accelerated workshop settings, onsite or remote, to complete or update their R/APTR, validate top risks, memorialize current controls and plan for both design and performance improvements.

III. Strategic Planning

Whether focused on Legal or Compliance Department or firm-wide initiatives, Legal Risk Solutions+ works with Heads of Legal and/or Compliance for year-end / coming year(s) strategic plans, move-the-dial initiatives and budgets to ensure Strategy translates to Execution. For firm-wide initiatives, focus is given to ensuring Legal and Compliance plans are appropriately tailored to mitigate increasing, new or emerging risks.

IV. Compliance Testing

For clients looking for more comprehensive regulatory audits and compliance testing, Legal Risk Solutions+ works with Heads of Legal and/or Compliance to conduct traditional reviews of their programs. In addition to formal reports, clients receive updated R/APTR modules that assist with corrective action plans and ongoing Legal and Compliance risk management.

Current Coverage: Bank; Broker-Dealer, RIA; Cryptocurrencies; Cybersecurity; Expert Network / Primary Investment Research; U.S. & Offshore Alternative Investment Management