REGULATORY AND STRATEGIC COUNSELING

We counsel clients on complicated issues arising under the statutes, regulations, and proposed regulations governing the financial services industry. We also counsel clients on the application of agency guidance documents and statements of policy on a wide range of issues, particularly in the areas of evolving regulatory scrutiny, in order to assist clients in identifying significant legal, supervisory, and reputational risks, and implementing systems and controls tailored to address those risks.

Based on our extensive experience, we often propose changes to agency regulations and request interpretations of existing or proposed agency rules. These efforts have led to novel legal interpretations that have enabled our clients to offer new products and services, and to expand the scope of their operations.