Industries & Practices

Financial Services Regulatory & Compliance

Overview

The financial services industry is facing overwhelming regulatory compliance requirements. Unprecedented legislative and regulatory activity and high expectations for oversight have brought about the need for updated methodologies, policies and procedures for all financial institutions — from community banks and mortgage lenders to international operations and all settlement service providers.

We provide strategic and focused legal counsel on a variety of regulatory and compliance issues. With in-depth knowledge of state and federal financial services law, Bricker's team of experienced attorneys offers credible, pragmatic and responsive representation. We seek to understand our clients' markets, business issues, liabilities, risks and opportunities to help them make proactive and informed decisions in an increasingly complex legislative and regulatory environment.

Clients across the country have relied on our national-caliber skill and relevant industry experience to help them prepare for and overcome many challenges:

  • Regulatory and CFPB readiness planning
  • CFPB examinations
  • Federal and state regulatory actions and enforcement proceedings
  • Regulatory compliance due diligence and training
  • Compliance management systems
  • HUD investigations
  • Regulatory audits and exams
  • Whistleblower audits
  • Mock audits and internal testing
  • Development of compliance systems
  • Development of “best practices” policies and procedures
  • Commercial and residential loan documentation
  • Social media and advertising compliance

Related Industries & Practices

Experience

Insights & Resources
People
Drew H. Campbell Drew H. Campbell Partner
Drew H. Campbell Partner
Columbus
614.227.2319
dcampbell@bricker.com
Daniel C. Gibson Daniel C. Gibson Partner
Daniel C. Gibson Partner
Columbus
614.227.2324
dgibson@bricker.com
Katherine Spies Giumenti Katherine Spies Giumenti Partner
Katherine Spies Giumenti Partner
Columbus
614.227.8825
kgiumenti@bricker.com
Ali I. Haque Ali I. Haque Associate
Ali I. Haque Associate
Columbus
614.227.2359
ahaque@bricker.com
Kenneth C. Johnson Kenneth C. Johnson Of Counsel
Kenneth C. Johnson Of Counsel
Columbus
614.227.2322
kjohnson@bricker.com
Gordon W. Johnston Gordon W. Johnston Of Counsel
Gordon W. Johnston Of Counsel
Columbus
614.227.2381
gjohnston@bricker.com
Gregory J. Krabacher Gregory J. Krabacher Partner
Gregory J. Krabacher Partner
Columbus
614.227.2369
gkrabacher@bricker.com
William D. Mason William D. Mason Partner
William D. Mason Partner
Cleveland
216.523.5468
wmason@bricker.com
Nelson M. Reid Nelson M. Reid Partner
Nelson M. Reid Partner
Columbus
614.227.8812
nreid@bricker.com
Justin Ristau Justin Ristau Partner
Justin Ristau Partner
Columbus
614.227.4857
jristau@bricker.com
Christopher N. Slagle Christopher N. Slagle Partner
Christopher N. Slagle Partner
Columbus
614.227.8826
cslagle@bricker.com
David K. Stein David K. Stein Partner
David K. Stein Partner
Columbus
614.227.7740
dstein@bricker.com