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Financial institution regulation and corporate governance

Financial institutions, large and small, need guidance to meet the challenges and take advantage of the opportunities of banking in the 21st century. This includes corporate governance matters. We have extensive experience in consumer compliance and general regulatory compliance, including regulations implemented after the 9/11 tragedy. Our attorneys work closely with clients to satisfy regulatory and compliance obligations in ways that complement client business goals and principles. The firm advises financial institutions concerning:

  • Executive compensation
  • Holding company activities
  • Directors and officers liability insurance and related matters
  • Board of Directors restructuring
  • 33 Act and 34 Act reporting and compliance issues (including SOX issues)
  • Dodd-Frank Act developments
  • Bank Secrecy Act compliance
  • Data breach and related privacy matters
  • Electronic contracts and disclosures
  • Insurance agency licensure
  • Mortgage broker registration
  • Real Estate Settlement Procedures Act compliance
  • Truth in Lending Act and other consumer compliance matters