Compliance & Security
Building industry-leading standards for data protection, regulatory compliance, and professional conduct in surplus fund recovery.
Security Framework
We are implementing enterprise-grade security controls designed to meet or exceed government and financial industry standards
Data Protection
- AES-256 encryption at rest and in transit
- Zero-knowledge architecture for PII
- Multi-factor authentication required
- Role-based access controls (RBAC)
- Data retention per jurisdiction requirements
Infrastructure Security
- AWS SOC 2 Type II certified infrastructure
- Network segmentation and VPCs
- 24/7 intrusion detection and response
- Regular penetration testing
- Disaster recovery and backup systems
Monitoring & Auditing
- Comprehensive audit logging
- Real-time security monitoring
- Annual SOC 2 Type II audits
- Third-party security assessments
- Incident response procedures
Legal & Regulatory Compliance
Our compliance framework ensures adherence to all applicable laws, regulations, and professional standards
Attorney Licensing & Professional Standards
Licensed Attorney Network
- • Licensed attorneys in all 50 states and D.C.
- • Minimum 5 years experience in civil litigation
- • Good standing with state bar associations
- • Professional liability insurance coverage
IOLTA Compliance
- • Interest on Lawyers' Trust Accounts maintained
- • Client funds segregated from operating accounts
- • Quarterly reconciliation and reporting
- • State bar audit readiness maintained
50-State Regulatory Matrix
Statutory Compliance
- • State-specific surplus fund statutes tracked
- • Notice and filing requirements automated
- • Court rule compliance verification
- • Local ordinance monitoring
Court Procedures
- • Jurisdiction-specific petition formats
- • Filing deadline tracking and compliance
- • Service of process requirements met
- • Court fee calculation and payment
Data Privacy & Protection Laws
Privacy Regulations
- • CCPA/CPRA compliance (California)
- • GDPR compliance for EU data subjects
- • State privacy law monitoring and compliance
- • Attorney-client privilege protection
Data Subject Rights
- • Right to access personal information
- • Right to correct inaccurate data
- • Right to delete personal information
- • Right to opt-out of data sales
Financial Services Compliance
Anti-Money Laundering
- • Know Your Customer (KYC) procedures
- • Suspicious activity monitoring
- • OFAC sanctions list screening
- • Currency transaction reporting (CTR)
Financial Reporting
- • GAAP-compliant financial statements
- • Third-party CPA audits
- • Quarterly financial reporting
- • Escrow account reconciliation
Certifications & Third-Party Audits
Independent verification of our security, compliance, and operational controls
SOC 2 Readiness
Preparing for independent audit of security, availability, processing integrity, confidentiality, and privacy controls.
Auditor: Big 4 Accounting Firm
Scope: Security & Availability Controls
ISO 27001 Readiness
Working toward compliance with international standards for information security management systems and risk management.
Certifying Body: Accredited Authority
Scope: Information Security Management
Bar Association
Good standing with state bar associations in all jurisdictions where we practice.
IOLTA: Fully Compliant
BBB Accredited
Better Business Bureau accreditation with A+ rating for ethical business practices.
Accredited Since: [Date]
Complaint Resolution: 100%
Cyber Insurance
Securing comprehensive cyber liability insurance covering data breaches and security incidents.
Includes: Privacy, Security, E&O
Target Date: 2025
Financial Audits
Planning annual independent financial audits by certified public accounting firms.
Expected Opinion: Unqualified
Frequency: Annual
Client Protection Measures
Multiple layers of protection ensure your interests are safeguarded throughout the recovery process
Financial Protections
IOLTA Trust Accounts
Client funds held in attorney-managed Interest on Lawyers' Trust Accounts
Professional Liability Insurance
$5M professional liability coverage for all network attorneys
Bonding & Insurance
Comprehensive bonding and cyber liability insurance protection
Privacy & Security
Attorney-Client Privilege
All communications protected by attorney-client privilege
Data Minimization
We collect only necessary information and delete data per retention policies
Right to Terminate
Clients may terminate representation at any time per state bar rules
Questions About Our Compliance?
Our legal and compliance team is available to discuss our standards, certifications, and procedures with potential clients and partners.
Response Time: We respond to compliance inquiries within 24 hours during business days.