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Regulatory Action Response and Strategy

Drawing upon our experiences with various products and services, requirements, and issue resolution, Protiviti helps clients confidently develop and/or enhance their communications to and with their regulators, with the goal of developing practical, timely and thorough responses to issues.

 

Self-Assessment in Advance of Any Regulatory Action

Protiviti assists clients with assessing regulatory issues, however they are identified. Our goal is to provide relevant, timely information that gives our clients confidence in their responses to regulatory findings and negotiation of regulatory actions.

 

Issue Management and Resolution

From the identification to closure, Protiviti assists our clients with the management and resolution of regulatory issue and actions. We help clients evaluate, design and execute strategies to manage regulatory risks and expectations, and successfully resolve regulatory issues.

 

Customer Remediation

As our clients identify regulatory issues that require the remediation of adversely impacted customers, Protiviti assists clients with identifying the impacted customers, determining the remediation amounts and types, and communicating with and providing remediation to customers.

 

Credible Challenge, Testing and Validation

We assist clients across their lines of defenses with evaluating their regulatory remediation strategies and execution for consistency with applicable requirements, expectations and internal standards, and provide informed, independent perspectives to management to successfully resolve regulatory matters.