DUE DILIGENCE & COMPLIANCE SERVICES
Legal Compliance to Documentary Requirements – we manage it all!
Due Diligence Services involve methodically organizing and analyzing the documents and information pertaining to a legal matter, civil suite, business transaction or property transaction and then identifying the associated risks.
AREAS OF DUE DILIGENCE:
- 1Legal Due Diligence in Civil Litigation
- 2Legal Due Diligence
in Business Transactions
- 3Legal Due Diligence
in Intellectual Property
- 4Legal Due Diligence
in Property Transactions
- Legal Due Diligence Services in Civil Litigations - Involve conducting research on the proposed reliefs to be requested in a matter. After doing intensive research, we prepare a memorandum wherein we lay down the reasons for keeping or doing away with certain reliefs requested.
- Corporate Due Diligence in Business Transactions – Involves analyzing transactions that involve sales and purchase of products or services or that involve mergers, acquisitions, and partnerships of corporate entities.
- Legal Due Diligence in Intellectual Property – Involves analyzing the party's right to use and the right to stop others from using IP assets, reclaiming the mark, maximizing the mark and ensuring that it does not become generic.
- Legal Due Diligence in Property Transactions – Commercial Due Diligence Services involves conducting searches on real estate property records to determine any liens on the property, any construction required on the property, determining compliance with local building codes.
LEGAL COMPLIANCE
With corporate scandals on the rise and the consequent regulations becoming stricter, it is necessary to ensure that the policies and procedures of your company are in compliance with the rules and guidelines formulated by various regulatory authorities in different countries. Ensuring legal compliance can become a time consuming as well as labor-intensive task. This can result in an escalation of your administrative costs. SunLexis offers you a comprehensive suite of legal outsourcing compliance services that are cost-effective and accurate.
AREAS OF LEGAL COMPLIANCE:
- Detailed document review
- Annual reports
- Compliance related documents
- Tracking filings
- Chief compliance officer
Spectrum of Deposition Summary Services
- Detailed document review services to analyze Compliance Manuals, Code of Ethics, Policies, and Procedures, Standard Investment Advisory Agreements, Disclosure Brochures, and other compliance-related documents.
- Preparation of Annual Reports for your clients.
- Drafting compliance-related documents like Business Continuity Plan, Disaster Recovery Program, Holdings Report, Compliance Exception Report.
- Tracking all your regulatory compliance filings.
- Acting as your dedicated Chief Compliance Officer.
RESTORING AMERICAN FINANCIAL STABILITY ACT/DODD BILL: AN AREA OF CONCERN?
U.S. Senate Banking Committee Chairman Christopher Dodd proposed a financial regulatory reform bill on March 15, 2010, which has become a matter of concern for many broker-dealers and financial advisers. Some of the proposed legislative requirements are:
- Registration of private fund managers and increased reporting obligations for the private fund industry
- A liquidation regime for systemically important financial institutions
- Reform of the markets for derivatives
- Financial stability and "too big to fail" regulation
- Partial realignment of U.S. bank supervisory responsibility
- Creation of a new Bureau of Consumer Financial Protection
Passed by the Obama administration in 2010, the regulation has raised the cost of being legally compliant. To meet the regulatory obligations, small and medium-size businesses have to spend their hard-earned money to employ compliance staff. They can save this additional cost by simply outsourcing their compliance process to SunLexis.
