---
title: "Regulatory Defense: 3 Rules"
description: 3 rules if you are facing regulatory action
image: https://www.gallatin-law.com/hubfs/Canva%20images/Canva%20Design%20DAFxD1mjUbk.png
---
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10/12/2023
# Regulatory Defense: 3 Rules
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Regulatory defense means you, as licensed individual or company, receive a license that authorizes you to do business. Most licenses are issued by the State: real estate agents; mortgage originators; pharmacists; real estate appraisers; building contractors. You get the idea. Someone, usually a customer, submits a complaint to your regulatory board or State agency and an investigation commences. This is administrative law, totally different than civil law or criminal defense.
The risks are high in this situation. Say one thing wrong and you can be in for a major problem. Even if you say something slightly incorrectly you can be in for a big problem. Here are 3 rules you need to follow in this situation:
1. Only provide exactly what is asked for from the regulator.
2. Make the regulator explain its questions thoroughly. The investigators are not particularly good at being clear in their questions in my experience.
3. Know the laws you that apply to you. This may seem common sense, but many regulated clients don't know all the ins and outs of the laws that apply to them.
I of course recommend good counsel to guide you. I've had excellent results with regulated clients. All situations are different and that doesn't mean your situation will come out as you wish, but I will properly guide you through the process and defend you with vigorously.
- [regulatory investigation](https://www.gallatin-law.com/blog/tag/regulatory-investigation),
- [regulatory actions](https://www.gallatin-law.com/blog/tag/regulatory-actions)
## [Dan Gallatin](https://www.gallatin-law.com/blog/author/dan-gallatin)
Dan is a lifelong resident of Minnesota. Born in St. Paul, Dan spent many of his formative years growing up there before moving to White Bear Lake. After graduating from White Bear Lake, Dan spent four glorious years at the University of Wisconsin-Madison, earning a degree in two majors. Dan worked as a Senior Investigator at the Minnesota Department of Commerce for several years after graduating from college. During his final years Dan attended William Mitchell College of Law while still working full-time. During this exhausting 3 ½ year period Dan honed his skills in becoming an efficient, to-the-point legal practitioner. While at Madison Dan met his wife, Tonya, and together they moved to Minnesota to plant their roots. Dan and Tonya have two amazing, unique children and reside in Hugo.
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## Related Posts
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08/05/2021 Sanctions by Regulatory Agencies Minnesota's regulatory agencies, such as the Department of Commerce and Department of Labor and Industry, hold a strong hand when it comes to…
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[
07/20/2022 Regulatory Update As I do on occasion in this blog, I report on recent enforcement actions from the Department of Commerce and Department of Labor & Industry. Here are…
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