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Regulatory & Compliance Services

For Corporate Legal Departments

Are you managing the total cost of compliance?

    • Morale and burnout: “No news is good news!”

    • Endless research into ever-changing regulatory issues

    • High opportunity costs as strategic work is delayed


How to optimize your approach

High-performing GCs reduce risk and create an advantage by outsourcing low-complexity administrative and management activities. Exigent is ready to partner with you to develop a robust, efficient compliance function.

 

The Exigent approach:

Exigent conducts a gap analysis by gathering all existing governance protocols as well as relevant documents and data. These are audited, tested, and compiled into a list of greatest potential risks.

Our legal regulatory specialists will come up with bespoke compliance solutions tailored to best practices and your specific business needs. We provide recommendations to enhance your existing processes, create new ones, and alert you to any potential compliance barriers. 

After we amend and draft all necessary policies, Exigent will help you put them into action. We can assist with training your staff, implementing, and enforcing new SOPs. 

Regulatory & Compliance Solutions

By reimagining your operating model, you can improve the quality of work, reduce costs and increase your team’s productivity.

Regulatory ComplianceCorporate SecretarialData & Information PrivacyContract ManagementImmigration Compliance

Client Spotlight

Situation

A globally recognized cement manufacturing company was undergoing rapid growth as it entered new global markets.

The legal team became overwhelmed, processes and delivery became dispersed and siloed, and regulatory compliance dropped off the priorities list entirely.

Approach

Exigent conducted a series of workshops to assess matters from the legal team’s and business stakeholders’ perspectives. Risk analysis dashboards were developed to help us target and prioritize pain points.

In order to get our client back on track with compliance, we researched the latest relevant regulatory and legislative mandates and updated their contract playbooks and clause bank register content.

We automated various obligation registers to help our clients stay on top of upcoming deadlines, expirations, renewals, etc.

Result

With the new model, the legal team has the playbooks, resources, and technology tools to turn work around faster and align with internal and external best practices.

Regulatory Compliance Services:

Don’t see what you need on the list? Don’t hesitate to ask – every corporate legal department is different. We can accommodate.

  • General regulatory consulting
  • Risk assessments & registers
  • Conflict checks, screenings & due diligence
  • Governance protocols & policy review
  • License and sanction tracking


Corporate Secretarial

Situation

A Director on the Board of one of Africa’s leading financial services organizations resigned.

The company, which provides retirement, asset management, insurance, and wealth management services, approached Exigent to assist with the transactional filings arising from their board member’s resignation.

Approach

After establishing the client is a public company, Exigent found that the company was listed with the Johannesburg Stock Exchange (JSE)

In order to remain in the public sector and continue being listed with the JSE, our client needed to adhere to South Africa’s Companies Act 71 of 2008, Companies Regulations 2011, as well as the JSE Limited Listings Requirements.

Result

Exigent helped our client stay compliant with these statutory regulations by preparing and filing the necessary notices with the Companies and Intellectual Property Commission (CIPC) within the required timeframe.

The CPIC monitors compliance closely and publishes its investigation findings on its website. Had our client not filed the correct documentation timely, they would have risked being investigated by the CPIC and a tarnished reputation.

Corporate Secretarial Services  

Don’t see what you need on the list? Don’t hesitate to ask – every corporate legal department is different. We can
accommodate. 

  • General regulatory consulting
  • Risk assessments & registers
  • Conflict checks, screenings & due diligence
  • Governance protocols & policy review
  • License and sanction tracking

Data & Information Privacy

Situation

The South African Protection of Personal Information Act (POPIA) went into effect on July 1, 2020, establishing 8 conditions for lawful processing of personal information data that all businesses must abide by.

A well-known casual dining restaurant chain originating from South Africa and operating 1,000 locations in more than 30 countries reached out to Exigent for POPIA compliance assistance.

Approach

Exigent obtained all applicable information and SOPs from the client to conduct a gap analysis compliance review to identify any potential lapses in compliance.

We identified potential issues with the client’s processes regarding obtaining employee consent, internal management of personal information, sending information externally, and training regarding these processes.

Results

The client achieved POPIA compliance and implemented our process improvement recommendations which:

  • Optimized legal operations
  • Improved data accuracy
  • Reduced costs
  • Created standardized training playbooks and modules for future use
  • Reduced future data & information risk exposure

Data & Information Privacy Services 

Don’t see what you need on the list? Don’t hesitate to ask – every corporate legal department is different. We can accommodate.  

  • Privacy assessments and monitoring
  • Facilitating privacy by design principle and change management
  • Developing a data privacy framework or program
  • Governance & structuring your privacy office 

Contract Management

Situation

A British utility company was in the process of selling a subsidiary to a US-based energy company.

All contracts from the subsidiary including service, supplier agreements, and non-disclosure agreements needed to be reviewed in preparation for the sale.

The global law firm representing the utility company reached out to Exigent to review more than 10,000 documents and conduct due diligence.  

Approach

Exigent reviewed the documents, escalating any contracts that needed further review by the law firm.

We used our proprietary AI tool to extract data from the documents. With this data, we built 3 data models and reviewed 30 key points for each.

We created a repository in Exigent CMS, provided a weekly status report, and shared extraction information for them to work simultaneously towards their arrangement with their client.

Results

Exigent was able to streamline workflows for collation and data extraction, delivering the project in 5 months versus the 12-18 months it would have taken our client to complete the project.

Valuable compliance data was extracted and maintained, allowing our client to make meaningful recommendations regarding the strategy of the sale.

Contract Management Services 

Don’t see what you need on the list? Don’t hesitate to ask – every corporate legal department is different. We can accommodate.  

  • Clause bank creation & deviation matrices
  • Ensuring contracts are compliant with legislation or regulations
  • Standardized contract templates for internal compliance
  • Obligation management

Immigration Compliance

Situation

A Swiss telecommunications company reached out to Exigent to conduct an audit on their I-9 visa process
for international employees.

Approach

We ran an audit measuring 27 parameters of the client’s employment authorization and identity verification processes.

Zeroed in on any gaps or deficiencies in our client’s SOPs and drafted our recommendations for best practices moving forward.

Results

Some significant procedural errors and missing information were found during the audit and brought to the client’s attention. One of the parameters measured had a 47% rate of error.

We recommended our client establish additional data quality checks for certain error-prone sections of the employee identification process. We implemented a system of contemporaneously updating the client’s I-9 form template on file when any governmental changes were made to the form.

When the government made changes to the I-9 form, Exigent established a way to update the form template universally across the company to ensure consistency and version control.

Exigent’s immigration process optimization improved the timeliness of form submissions and filing updates and drastically curbed erroneous data entries.

Immigration Compliance Services 

Don’t see what you need on the list? Don’t hesitate to ask – every corporate legal department is different. We can accommodate.  

  • Immigration compliance audits
  • I-9 compliance audits
  • Assistance in the E-Verify process
  • Internal review for adherence to wage-related audits from departments
  • M&A due diligence

Latest Insights

General Counsels Reveal ‘Secret Sauce’

We interviewed GCs around the world to explore how they are breaking free of the barriers to delivering more value.

Download to learn: 

    • Several common challenges GCs faced in their transformation process and what they did about them
    • Which priorities successful GCs handled first to achieve desired outcomes 
    • 5 Best-Practice Tip Sheets for how to “Break Free” of barriers to transformation for each strategic priority
    • The 6 Key Traits of High-Performing GCs


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