Case Study

Resourcing for Regulatory Review

March 12, 2025

Industry

Financial Services

Solution

Legal Department Operations

A Fortune 500 diversified financial services group of companies required On-Demand Resourcing for long term assistance on two regulatory audits. The client was happy with the outcome achieved with Morae for both projects.


Advisory

In the first project – Morae attorneys conducted a quality assurance review of certain state regulatory citations contained in a client’s database.

Morae attorneys reviewed a sampling of the citations within the database, with the quality assurance review process consisting of:

  • Reviewing the black letter law for each identified station citation, and
  • Comparing it to the “plain English” obligation description in order to make appropriate recommendations or determinations to client

In the second project –  Morae attorneys conducted a review of specified federal regulatory citations to identify duplicate regulatory requirements within the client’s federal database, along with analyzing the citations to provide cross-reference notations among related federal regulations.

Execution

Outcomes

  • Project 1 – Morae’s findings were presented to client on a weekly basis in a spreadsheet format, accompanied by a summary email
  • Project 2 – Morae’s findings were presented to client on a Topic-by-Topic basis in a spreadsheet format, supported by word documents identifying the duplicates and cross-references.
  • Cost savings

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