36 Long Alley Saratoga Springs NY 12866

Legal Compliance

Legal compliance means being compliant with regulations but adhering to legal requirements. These could include local, national, and provincial legislation, codes, company policy, and standards. Legal compliance can affect every area of a business.

Our depth of inhouse legal expertise has enabled us to successfully guide our clients in a myriad of different compliance areas, including:

Legal Consulting and Guidance

3H Corporate Services team represents insurance providers and agencies in litigation, insolvency, regulatory and transactional matters. In issues involving property and casualty, life, health and welfare, fiduciary errors and omissions, liability, title or workers’ compensation insurance, we have the experienced, dedicated professionals it takes to develop solutions that achieve client business objectives.

We also offer comprehensive advice on policy coverage and procurement, loss mitigation strategies, dispute resolution, regulatory and compliance issues, technology matters, tax questions, insurance investment management and dispositions, and insurance carrier and agency acquisitions and divestitures.

Corporate Compliance Reviews

3H Corporate Services contacts the Secretary of State Offices (SOS) and Departments of Revenue (DOR) for all states where your agency is, or ever has been, licensed.  We find out if you have completed the business registration process.  Your State-by-State Report lists your registration status in each state.  It also lists the individual or entity acting as your Registered Agent in that jurisdiction.  You will receive detailed recommendations for closing any gaps.

* Please be aware that some states require 3H Corporate Services to have Power of Attorney to check your tax status.

National Regulatory Research Project

3H Corporate Services has in-depth knowledge within insurance issues among policymakers, insurance commissioners and other regulators, industry leaders, and academia. We partner with NAIC and conduct research and provide a deep analysis of important insurance issues which effect our clients.

M&A Due Diligence

Due diligence is an essential activity in mergers and acquisitions (M&A) transactions. In the M&A process, due diligence allows the buyer to confirm pertinent information about the seller, such as contracts, finances, and customers.

State Department Desk and Field Audit Representation and Counseling

An audit is an examination of the taxpayer’s books and records to determine whether taxes are being correctly reported. An audit may be either a desk audit conducted by mail or by telephone or a field audit where the auditor comes to a taxpayer’s place of business. Throughout the process, communication and cooperation are vital while working with the State.  3H Corporate Services has the expertise and knowledge on how to work through this process and protect our clients.

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