Regulatory disclosures can have lots of twists and turns
Know the specifics of how to protect yourself and not your employer during a regulatory investigation.
“When the state regulator was threatening a heightened supervision agreement that would result in a regulatory disclosure, HLBS Law instructed me there was only one option in this scenario, fight back. HLBS worked with my compliance department to launch an all-out offensive to get the regulator to back down.
My disclosures were expunged and I did not end up with a regulatory disclosure.
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