Regulatory Inquiries and Subpoena Response for Financial Institutions
Manage third-party subpoenas and ensure compliance through automation and defensible processes.
Gain a strategic advantage with solutions designed for financial institutions. Rapidly respond to third-party subpoenas, maintain SEC, FINRA, and CFTC compliance, strengthen information governance, and manage call recording requirements while reducing risk and operational burden.
Third-Party Subpoenas
Rapidly locate, collect, and produce records using a follow-the-sun model.Regulatory Compliance (SEC, FINRA, and CFTC)
Capture and retain communications across platforms.Information Governance
Bridge the gap between legal, compliance, and IT with financial services experts.Call Recording Requirements
Review call recordings with transcriptions and structured data overlays.Meet Regulatory Demands
Streamline subpoena and compliance response.
Why Top Financial Institutions Trust Epiq
- Gain confidence in your compliance strategy by working with Epiq, recognized as the Microsoft Global Compliance Partner of the Year in 2023.
- Efficiently resolve complex regulatory and white collar matters with a global investigations team experienced in over 1000 engagements.
- Protect sensitive financial data with our ISO/IEC 27001:2013 certified data centers across the US, Europe, and Asia.
