Financial Services Compliance

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:

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