The proliferation of federal and state laws—and government agencies tasked with implementing and enforcing them—presents unprecedented challenges for financial institutions. We provide informed, insightful advice on regulatory, transactional, litigation, and strategic planning matters.
Our attorneys counsel clients on the development and marketing of new financial products, assist in chartering new financial companies and with charter conversions, draft internal compliance procedures, conduct internal investigations, and provide guidance on compliance and safety and soundness issues. We also defend clients in administrative investigations, judicial proceedings, and administrative enforcement proceedings brought by state and federal regulatory agencies.
Bank and Thrift Holding Companies
We advise on the diverse regulatory requirements that apply to bank holding companies, financial holding companies, and savings and loan holding companies, as well as holding companies exempt from regulation at the holding company level. These include capital adequacy regulation, affiliate transactions restrictions, acquisitions of banking and nonbank interests, and merchant banking activities.
Officers and Directors Services
We advise officers and directors on compliance issues, matters involving bank supervision and examination, government investigations, and crisis management. We also defend them in administrative enforcement proceedings and D&O liability claims. We assist with strategic planning, transactions, and challenges to agency rulemaking, and in litigation.
Keith R. Fisher
Alan S. Kaplinsky