Financial Services Compliance

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