Identify the cause of the underlying incident in order to appropriately respond:

•  We leverage proprietary regulatory analytics to help organizations identify the root cause of incidents to efficiently address the incident and mitigate the compounding upon client harm.

To learn more about our Root Cause Analysis capabilities, contact a member of our team.

Provide several types of testing services, including:

• Continuous testing of controls (as managed service, e.g., product recommendations for high risk and complex products, consideration of reasonably available alternatives and costs).
  
• Mock regulatory-style exams covering data requests and testing of policies, procedures, and controls pertaining to regulatory requirements.
  
• Point-in-time testing of policies and procedures (P&Ps), and the design and implementation of controls using a risk-based controls analysis and testing plan.

To learn more about our Compliance Program capabilities, contact a member of our team.

Our Impact Analysis and Harm Calculation capabilities assist organizations to accelerate their response in the event of a regulatory incident. In cases like these, we bring to bear our regulatory, analytics, risk management, and investigative capabilities to provide any combination of the below capabilities:

• Impact investigation and analysis: We analyze size and scope of the incident and identify impacted clients.
• Harm calculation: We design and apply a consistent, transparent, and defensible calculation methodology to quantify harm to clients.

To learn more about our Impact Analysis and Harm Calculation capabilities, contact a member of our team.

Assess and make recommendations on the implementation of processes, systems, and controls to help prevent futures incidents:

• Control environment enhancement: We assess the control environment, make recommendations, and assist organizations to implement enhancements to policies, procedures, and controls to manage the risk of future incidents.
• Future state program design: We assess existing remediation capabilities and leverage our experience advising the industry to help organizations enhance and automate remediation processes, workflow, systems, controls, analytics, and reporting.

To learn more about our Operating Model and Controls Enhancement capabilities, contact a member of our team.

Analyze and offer recommendations on a remediation methodology, reperform harm calculations, and confirm results:

• Evaluate harm calculation methodology and assumptions: If your organization has already calculated client harm, we assess the methodology, test assumptions, re-perform harm calculations, and confirm results.

To learn more about our Third Party Evaluation and Confirmation capabilities, contact a member of our team.

Accelerate discovery of hidden insights and detection of potential regulatory violations by leveraging data and risk modeling techniques:

• Supervision and surveillance dashboards and analytics: Enhance understanding and decision-making with reporting, dashboards, and analytics to detect trends and patterns in conduct as well as potential incidents of non-compliance.
• Automate the activities and workflow of large-scale remediations: A Deloitte-hosted remediation platform with natural language processing (NLP) and analytics engines, client-facing workflows, task management, reporting, and approvals to facilitate the extraction and interpretation of text from documents, client harm calculations, and reviews and approvals of reimbursements.

To learn more about our Regulatory and Risk Analytics capabilities, contact a member of our team.