Regulatory Investigation

This is an "In-House" service

Under AFSSIN Regulatory Investigation portfolio, it shall mean Financial Regulatory Investigation (FRI). We offer, assist and provide the following services:

  • Review and assess the Notice of Regulatory Complaint, Subpoena or Summon. Regulatory here shall mean a Securities Exchange, Stock Exchange and Commission or a Central Bank.
  • Review or collect documents, correspondence, electronic mails, board minutes and resolutions, shareholders resolutions and supporting documents.
  • Assist in the preparation of response to the Regulatory Investigation or Non-Public Inspection.
  • Assist in the formulation of defence strategy.
  • Assist in consultation with your In-House Counsel and/or external lawyers.

You can either complete our Assessment Form available on our website of this tab OR contact us for a FREE consultation and to understand how AFSSIN paralegal services can be of assistance to you by completing the form below.

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