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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

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    Root Cause Analysis

    Root Cause Analysis

    Identify the cause of the underlying incident in order to appropriately respond

    Root Cause Analysis

    Identify the cause of the underlying incident in order to appropriately respond
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    Compliance Program Services

    Compliance Program Services

    Provide several types of testing services including continuous testing of controls, mock regulatory style exams, and point-in-time testing

    Compliance Program Services

    Provide several types of testing services including continuous testing of controls, mock regulatory style exams, and point-in-time testing
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    Impact Analysis and Harm Calculation

    Impact Analysis and Harm Calculation

    Support organizations in the event that a regulatory incident occurs, requiring an efficient and methodical response, given the potential regulatory scrutiny and client impacts

    Impact Analysis and Harm Calculation

    Support organizations in the event that a regulatory incident occurs, requiring an efficient and methodical response, given the potential regulatory scrutiny and client impacts
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    Operating Model and Controls Enhancement

    Operating Model and Controls Enhancement

    Assess and make recommendations on the implementation of processes, systems, and controls to help prevent future incidents

    Operating Model and Controls Enhancement

    Assess and make recommendations on the implementation of processes, systems, and controls to help prevent future incidents
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    Third Party Evaluation and Confirmation

    Third Party Evaluation and Confirmation

    Analyze and offer recommendations on a remediation methodology, re-perform harm calculations, and confirm results

    Third Party Evaluation and Confirmation

    Analyze and offer recommendations on a remediation methodology, re-perform harm calculations, and confirm results
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    Analytics, dashboards, and workflow

    Analytics, dashboards, and workflow

    Accelerate discovery of hidden insights and detection of potential regulatory violations by leveraging data and risk modeling techniques

    Analytics, dashboards, and workflow

    Accelerate discovery of hidden insights and detection of potential regulatory violations by leveraging data and risk modeling techniques
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    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

    Get in touch

     

    Maria Gattuso
    Principal
    Risk & Financial Advisory
    Deloitte & Touche LLP

     

    Karl Ehrsam
    Principal
    Risk & Financial Advisory
    Deloitte & Touche LLP

     

    Bruce Treff
    Managing Director

    Risk & Financial Advisory
    Deloitte & Touche LLP

     

    Craig Friedman
    Managing Director

    Risk & Financial Advisory
    Deloitte & Touche LLP

     

    Gaby Huaman
    Managing Director
    Risk & Financial Advisory
    Deloitte & Touche LLP

     

     

     

     

     

     

     
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