You know that your business must comply with numerous consumer protection and privacy demands and that today’s regulatory landscape poses significant risk, but perhaps you don’t know where to start. Maybe you’ve already implemented compliance policies and procedures, but you’re not sure if they’re adequate or whether they’re working as designed. Or maybe you’re worried about potential liability based on the actions of your vendors or a merger or acquisition target.
No matter your industry, there is virtually no aspect of your business untouched by federal or state regulatory demands. These can vary with every state in which you operate and maintaining compliance may seem like an impediment to efficiently running your organization. However, the process doesn’t need to hold you back, and can, in fact, elevate your business by improving customer experience, growing loyalty, and identifying operational inefficiencies. Our attorneys have deep experience with complex federal and state regulations and inside knowledge of the agencies that enforce them. Whether you are an entrepreneurial startup or an established enterprise, we can help you navigate every compliance challenge.
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The first step towards improved compliance is the adoption and implementation of a comprehensive compliance program. Among other things, this typically includes: (1) written policies and procedures; (2) employee training curricula; and (3) robust quality assurance protocols.
We can help you create and implement a practical and tailored compliance program that significantly mitigates risk without hindering your business objectives or imposing “red tape” on your marketing, sales, or operations teams. This may involve building a program from scratch or simply supplementing or refining an existing compliance program.
Auditing & Due Diligence Services
We provide thorough compliance auditing, due diligence, and assessment services in a number of substantive areas. Our team will work with you to identify compliance gaps and provide practical recommendations to help you proactively mitigate risk. We can also assist with the remediation of non-compliant activities.
In addition to reviewing policies, procedures, marketing and sales materials, and other documents, we typically conduct onsite interviews and assessments of your company’s business operations. Through this process, we are able to identify breakdowns in compliance protocols and/or discover new business practices that may not have been vetted by your compliance or legal teams. This allows you to remediate non-compliant practices before they catch the attention of regulators or plaintiffs’ attorneys.
Our auditing services cover a wide range of highly regulated areas, including teleservices, consumer protection, privacy, debt collection, and automotive services. Within each area, we can tailor the audit to suit your business’s unique needs.
State Registrations & Licensing
For businesses reaching out to consumers via phone or text, regulatory compliance will likely require registration and licensing in the states in which they operate. These requirements will vary from state to state and across industries.
We work with clients from start to finish throughout the filing and approval process, beginning with analyzing the states in which registration will be needed and identifying exemptions that may apply. We can also assist with the filing process and help ensure registrations are renewed timely. Our strong working relationships with these agencies and their staff help ensure a smooth and efficient filing and approval process for our clients.
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Whether you are a startup business seeking registration approval for the first time or looking to expand your operations, we can help you identify, obtain, and maintain the registrations required for your business.
We regularly work with sellers and call centers that conduct inbound or outbound telemarketing campaigns to identify registration requirements and assist with the registration process. Many states will require registering as a telemarketer to place calls into, or from, that state; some may even require the additional licensing of individual telemarketing agents or require purchase and registration for their Do Not Call list.
If you are a nonprofit organization participating in fundraising, or a call center or mail house soliciting donations on behalf of charitable clients, that activity is subject to federal and state regulations. Failure to comply can result in substantial cost, including late fees and other financial penalties, revocation of fundraising ability, or even loss of nonprofit status. Whether you are fundraising in a single state or across the country, we can help ensure your state registration requirements are met.
If you are engaged in consumer or commercial debt collection, many states will require specific licensing and documentation for collection agencies. Even if a state is unregulated and requires no specific debt collection licensing, it may still require registration or posting a bond to do business in that state. You must also maintain compliance with applicable federal regulations related to debt collection.
The insurance industry bears its own unique set of regulatory compliance demands. Whether you are an insurance company or agency, independent agent or broker, or a third-party administrator, we can help you identify and fulfill your state-by-state registration and licensing requirements.