Regulatory Investigation Support Services
Service 18
Service Definition
Provide professional support for regulatory investigations by the SEC, PCAOB, and others, including data preparation, inquiry responses, and attorney coordination.
Services
Investigation Notice Analysis; Data Inventory Compilation; Internal Investigation Execution; Drafting Inquiry Responses; Attorney Coordination and Collaboration; Remediation Plan Development; Follow-up Monitoring
Service Process
Notification Received → Situation Assessment → Data Preparation → Inquiry Response → On-site Coordination → Rectification Implementation → Case Closure Confirmation
Target Audience
Publicly listed companies that have received a notice from the SEC/PCAOB investigation
Deliverables
Investigation Cooperation Plan, Response Document, Rectification Plan, Case Closure Report
Service Period
By survey cycle (typically 3-12 months)
Quality Standards
Investigation concluded successfully; no major penalties; reputational impact minimized.
SLA Commitment
Regulatory inquiry response within 4 hours
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