Counseling & Compliance
BuckleySandler’s regulatory counseling and compliance practice is focused on advising banks, mortgage lenders and servicers, auto finance companies, credit card lenders, consumer lenders, commercial mortgage lenders, small and medium enterprise lenders, investment advisors and other financial institutions on a wide range of regulatory, risk management and compliance issues. We are on the forefront of law firms advising clients on preparing for and complying with new and existing federal and state rules and regulations. In the past 12 months alone, we have conducted more than 20 CFPB examination preparations and gap analyses. We also regularly advise our clients on FDIC, Federal Reserve Board, OCC, SEC and other state and federal regulatory requirements.
Regulatory
BuckleySandler assists clients in interpreting and implementing new federal and state laws and regulations impacting the financial services industry. From lending, to deposit, to investment functions, our clients include 22 of the top 25 banks, the top 10 mortgage servicers and credit card issuers, nine of the top ten mortgage originators, and countless community banks, credit unions, broker-dealers, investment advisors and money managers.
Compliance Risk Management
We provide proactive compliance risk management and regulatory advice on the myriad issues related to a financial services company’s business operations. We work closely with our clients on the design and implementation of compliance risk management programs that best address the challenges ahead, recognizing the need to do so in an efficient and cost effective manner that is customized to meet each client’s unique business needs.
Experience
Our financial services regulatory counseling and compliance experience includes:
- Designing, implementing and evaluating board level and business line compliance policies and procedures
- Preparing for and responding to CFPB and other regulatory inquiries
- Obtaining licenses and permits for new business operations
- Conducting internal investigations
- Establishing or evaluating anti-money laundering programs, policies and procedures
- Reviewing or drafting FCPA compliance programs
- Conducting M&A due diligence
- Writing privacy & data security policies and procedures
Related Practices
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