Industries & Practices

Financial Services Regulatory & Compliance

Financial Services Regulatory & Compliance

    We provide strategic and focused legal counsel on a variety of regulatory and compliance issues.

    Our attorneys are consistently monitoring legislative and regulatory activity and understand how to implement compliant methodologies, policies and procedures for all financial institutions — from community banks and mortgage lenders to international operations and all settlement service providers. 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 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
    • Advertising and sales practices
    • 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 digital advertising