Overview:
Our range of Financial Service Compliance capabilities includes but is not limited to: Dodd-Frank, Unfair, Hemp-Cannabis Regulations, Deceptive or Abusive Acts or Practices, Consumer Lending Protections
Capabilities:
- Business Continuity Programs (COVID-19, etc.)
- Community Reinvestment Act Data Research, Audit and Assessment
- Servicemembers Civil Relief Act Audit and Assessment
- Fair Lending Compliance and Risk Management
- Economic Development Housing Policy Formation
- Fair Debt Collection Practice Act Compliance
- UDAAP Compliance and Regulatory Examinations
- Banks/Thrift Holding Company Supervision
- Hemp and Cannabis Regulations and Compliance Programs
- Property and Casualty Insurance Compliance and Risk Management
- Systemic Risk Assessment
- Trust and Securities Risk Assessments
- Volcker Rules Review
- Disclosures
- Investigations
- Ethics Violations
- Hedge Funds / Private Funds controls and processes management
- Asset Backed Securities controls and processes management
- Clearing and Settlement Compliance
- Compliance audit testing
- Policies and Procedures
- Conflicts of Interest
- Credit Rating Agencies compliance
- Derivatives controls and processes management
- Municipal Securities controls and processes management
- Commodity and Capital Markets controls and processes management
Related Capabilities:
News
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- Tianqi Lithium Corp., one of the world’s largest producers of battery-grade lithium compounds, said Wednesday that it […]
- Part 2 of Netflix's smash hit has fans abuzz, but there's a lot more on […]
- Grayscale Investments filed suit against the Securities and Exchange Commission on Wednesday, shortly after the […]
- ElPlanteo.com conversó con el diputado del Frente Amplio de Uruguay, Eduardo Antonini, quien presentó un proyecto que habilitaría el acceso al cannabis por parte de […]
- A Washington, D.C. ordinance eliminates the requirement that patients receive a doctor’s recommendation to apply for a medical cannabis card. The post New Washington, D.C. […]