Bank Regulatory


Our team provides regulatory expertise on matters relating to banking, securities, derivatives and other financial products and transactions. We represent financial institutions of all sizes—from large national banks to regional holding companies and community banks. Our team is focused on finding practical solutions for problems faced by regulated institutions. We provide compliance consulting, training and risk assessment in the areas of:

  • Loans and deposits
  • Insider transactions
  • Regulation O
  • Bank Secrecy Act
  • Anti-money laundering
  • Corporate governance
  • Mergers and acquisitions
  • Capital raising
  • Securities offerings, including offerings of public and private debt and equity
  • SEC registration
  • State and federal securities compliance issues

Our lawyers assist clients with safety and soundness and compliance examination issues, and also negotiate informal and formal supervisory actions with state and federal banking agencies.


Back to Top