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Perspectives
Regulatory Remediation
We assist organizations in the event that a regulatory incident occurs, such as an SEC deficiency letter, consent order, or regulatory investigation that requires prompt reaction. In cases like these, we bring to bear our regulatory, data analytics, investigative, and operational capabilities to potentially provide any combination of the below services.
Regulatory Remediation Services
Root Cause Analysis
Compliance Program Services
Impact Analysis and Harm Calculation
Operating Model and Controls Enhancement
Third Party Evaluation and Confirmation
Analytics, dashboards, and workflow
Deloitte offers its remediation services on an on-demand model:
● Deloitte can integrate with your organization’s operating model to augment your remediation capacity and capabilities. In the on-demand model, your organization engages Deloitte on an as needed basis to help recover from regulatory incidents. We can assist in root cause analysis; identification of the scope of the incident and impacted clients; development and execution of an approach to calculate client harm; and assess and help enhance the control environment. Recovery on Demand enables your organization to efficiently recover from regulatory incidents without needing to increase headcount or redeploy resources.
To learn more about our remediation on demand services, contact a member of our team.
Leveraging tools and technology for enhancing compliance:
● Cortex AITM: Cortex AI is a multi-cloud, scalable analytics platform that offers analytics, visualizations and workflow automation. This platform accelerates the identification of impacted clients, harm calculation and tracking of reimbursements
● Nexus Digital Nerve CenterTM: Nexus Digital Nerve Center is a tool designed to enhance, monitor and test controls with real-time data dashboards and Artificial Intelligence (AI) and Machine Learning (ML) models, ultimately enabling organizations to predictively sense risks and trigger corrective actions.
● Cascade SuiteTM: Cascade Suite is a fee and expense remediation solution with over 400 installations at wealth and investment managers. This tool automates the calculation, reconciliation and reporting of fees and expenses for accounts and funds.
To learn more about our Regulatory and Risk Analytics services, contact a member of our team or visit the following links: Cascade Suite, Cortex AI, and Nexus Digital Nerve Center.
Hear from us

Industry Regulatory Outlooks
• 2025 Banking Regulatory Outlook
• 2025 Investment Management Regulatory Outlook
• 2025 Insurance Regulatory Outlook

Regulatory Hot Topics
• Meeting regulatory expectations and business demands for electronic communications (Oct. 2024)
• Investment management: Planning, prioritizing for increased regulatory intensity
• Navigating the present, preparing for the future: Integrating a dynamic regulatory readiness posture
• Navigating regulatory waters in the age of AI
• Comprehensive analysis of the SEC’s landmark climate disclosure rule (March 15, 2024)
• Executive summary of the SEC’s landmark climate disclosure rule
• Preparing for the SEC private funds rule
• SEC enhances regulation of private fund advisers
• SEC issues cyber rule proposal for advisers and funds
• Navigating the evolving regulatory landscape to establish a compliant ESG investment practice
• Make ready for long-awaited ESG rules
• Evaluating identity theft red flags programs and compliance with Regulation S-ID
• Meeting regulatory expectations for preserving and monitoring electronic communications
• Fund Managers: Prepare for the next wave of Section 36(b) litigation and Section 15(c) enforcement
• ESG investing and sustainability
• Achieving responsible digital transformation
• Reg BI
Get in touch
Maria Gattuso |
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Karl Ehrsam |
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Bruce Treff |
Craig Friedman |
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Gaby Huaman |
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