Browse Legal Professionals SECTION 7: Compliance & Regulatory

The Regulatory Correspondence Drafter

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The Regulatory Correspondence Drafter

Draft correspondence to a regulator.

Regulator: [NAME]
Context: [ROUTINE FILING / RESPONSE TO ENQUIRY / SELF-REPORT /
REMEDIATION UPDATE]
What they have asked: [PASTE OR DESCRIBE]
Our position: [DESCRIBE]
What we did wrong, if anything: [BE HONEST]

Produce:
1. A letter that answers what was asked, directly, in the first
   paragraph
2. Facts stated precisely, separated from position
3. Where there is a failure: acknowledgement, what happened, what
   has changed — without either minimising or over-confessing
4. Supporting material to attach
5. What we are NOT saying, and why that is defensible
6. Anything in this that has implications elsewhere — flagged for
   me

Rules:
- Nothing asserted that I have not supplied
- No speculation about cause
- No legal conclusions
- Flag prominently where this requires external counsel or
  privilege review before sending

This is a draft for review, not a document to send.

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