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Case Study  ·  Compliance

A Compliance Program Assessment for a Small, Newly Public Real Estate Company


Real Estate


Compliance Program Assessment


A small, but rapidly growing new NASDAQ registrant was lacking a formal internal compliance program and needed to prioritize its efforts and rapidly build a program to effectively meet its obligations.


Our professionals:

  • Partnered with a law firm and used a compliance program assessment to perform a detailed evaluation of the company’s opportunities.
  • Evaluated the company’s existing compliance elements against the Federal Sentencing Guidelines.
  • Combined a formal survey process with interviews of key company personnel and a database of benchmarks to perform a rapid and effective assessment.


Using a prioritized compliance road map, the company was able to develop an appropriate compliance program using detailed benchmarking.

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