No matter what financial regulatory issue is facing our financial institution clients, we have an attorney who understands the daily impact it has on your business. Our attorneys serve financial services companies around the country and can advise you on regulatory, risk management and compliance issues at the federal and state levels.
Areas of Focus:
Corporate Governance
We counsel boards, audit, nominating/governance and compensation committees as well as special committees of public companies on a variety of key issues such as:
Preparing SEC filings
Fiduciary duties
Executive compensation
SEC, NYSE and NASDAQ corporate governance rules and standards
Audit committee composition and process
Board independence and composition, legal compliance policies, codes of ethics and board committee charters
Activist shareholder issues
Strategic Transactions
Our attorneys have extensive experience advising clients on the business and legal risks of transactions, negotiating terms of all forms of agreements, and helping clients navigate the regulatory application process. We represent financial institutions in all of the following:
Mergers (holding company and bank level)
Branch dispositions and acquisitions
Acquisitions of non-banking entities such as broker-dealers and investment advisers
Initial public offerings, follow-on offerings, private placement capital raises and debt offerings
De novo formation
Charter conversions
Consumer Finance Regulations
Our attorneys are familiar with the regulations that govern a vast array of financial products and services, including:
Fair Debt Collection Practices Act (“FDCPA”)
Telephone Consumer Protection Act (“TCPA”)
Fair Credit Reporting Act (“FCRA”)
Americans with Disabilities Act (“ADA”)
State and federal Unfair Trade Practices and state consumer protection laws
Consumer Financial Protection Bureau (“CFPB”) regulations
The Firm maintains two blogs, TCPA Defense Force and FCRAland where our attorneys discuss relevant legal trends, regulatory developments and key legislative decisions.
Privacy and Cybersecurity
Our Privacy and Cybersecurity Team is led by a former cybercrime prosecutor and a published author on privacy issues. We advise financial institutions on best practices for financial privacy and payment data, data collection and management and Europe’s GDPR, among other issues. When called upon, we also defend clients in disputes over privacy concerns or cybersecurity incidents.
FinTech Regulatory Issues
We advise clients on emerging payment technologies, prepaid and stored value products, mobile payments, web-based financial services, virtual currency and distributed ledger technology. Certain team members were previously in-house at Fintech companies or have experience working for the U.S. Department of Treasury.
No matter what issues our clients are facing, our financial regulation attorneys understand the daily impact they can have on your financial institution. Serving a myriad of financial services companies around the country, our team of regulatory lawyers are dedicated to providing clients with innovative and effective legal advice on regulatory matters, risk management and compliance issues at both federal and state levels.
With an unprecedented level of reform across financial services in the last few years, our team of regulatory lawyers have come to terms with the highly complex nature of new regulations and are able to anticipate the needs of clients.
With a background in various sectors of law, our team of highly skilled attorneys strive to provide thorough and effective legal advice to clients with a focus on main areas of financial regulatory law including the following:
Corporate Governance
Our financial regulatory lawyers counsel boards, audit nominating, governance and compensation committees and special committees of public companies on a variety of key issues such as:
SEC filings
Fiduciary duties
Executive compensation
SEC, NYSE and NASDAQ corporate governance rules and standards
Audit committee composition and processes
Governance issues, including board independence and composition, legal compliance policies, codes of ethics and board committee charters
Activist shareholder issues.
Strategic Transactions
Our financial regulatory attorneys have extensive experience advising clients on the business and legal risks of transactions, helping to negotiate terms of all forms of agreements, and supporting clients in navigating financial regulatory processes related to complex transactions. Our team is here to represent financial institutions in all of the following:
Mergers (holding company and bank level)
Branch dispositions and acquisitions
Acquisitions of non-banking entities such as broker-dealers and investment advisers
Initial public offerings, follow-on offerings, private placement capital raises and debt offerings
De novo formation
Charter conversions.
Consumer Finance Regulations
Our attorneys are familiar with the regulations that govern a vast array of financial products and services, including:
Fair Debt Collection Practices Act (FDCPA)
Telephone Consumer Protection Act (TCPA)
Fair Credit Reporting Act (FCRA)
Americans with Disabilities Act (ADA)
State and federal Unfair Trade Practices and state consumer protection laws
Consumer Financial Protection Bureau (CFPB) regulations.
Our law firm contributes to two blogs, TCPA Defense Force and FCRAland, where our attorneys discuss relevant legal trends, regulatory developments and key legislative decisions.
Privacy and Cybersecurity
Our Privacy and Cybersecurity team is led by a former cybercrime prosecutor and a published author on privacy issues. Our financial regulation lawyers advise institutions on best practices for financial privacy and payment data, data collection and management and Europe’s GDPR, among other issues. When called upon, we are also quick to defend clients in disputes over a myriad of privacy concerns or cybersecurity incidents.
FinTech Regulatory Issues
Our financial regulatory lawyers are also on-hand to advise clients on emerging payment technologies such as; prepaid and stored value products, mobile payments, web-based financial services, virtual currency and distributed ledger technology. With certain members of our law firm previously working in-house at FinTech companies, and with extensive experience working for the U.S. Department of Treasury, we are able to offer clients comprehensive and effective financial regulatory support related to FinTech.
Need legal advice and guidance in Financial Regulatory Law?
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