Bank Regulatory & Governance

We regularly advise financial institutions in undertaking plans to address regulatory guidance, as well as in responding to specific agreements stipulating corrective actions.

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What We Do

Our regulatory consulting and advisory services include assisting financial institutions with all aspects of resolution, requirements, and corporate governance. Our experts have unrivaled experience advising financial institutions and loan servicers, their parent companies, subsidiaries, affiliates, and key third-party service providers with respect to undertaking plans to address regulatory guidance, as well as in responding to specific agreements stipulating corrective actions.

We consult with boards of directors to provide a comprehensive analysis of the issues they confront, including integration, governance/oversight, and the ever changing regulatory landscape. Our experienced team also identifies and addresses data-quality deficiencies that need to be remedied for compliance purposes under regulatory schemes including Comprehensive Capital Analysis and Review (CCAR), Dodd–Frank Act Stress Test (DFAST), Consumer Financial Protection Bureau (CFPB), and Home Mortgage Disclosure Act (HMDA). Loan diligence and valuation services include buy-side bank M&A and target diligence, warehouse finance, acquisition support, and asset monitoring and surveillance. Bank regulatory advisory services include implementation and documentation of Dodd-Frank and Basel III, data validation and aggregation, HMDA, and valuation.

Who We Are

Our consultants include former bankers and regulators with unparalleled experience in today’s financial services industry. Our team members’ knowledge and skills are directly applicable to an institution’s compliance program. They also serve as advisors to banks and financial institutions in both single-asset and portfolio-level diligence and valuation services. Our expertise spans US and non-US banks, thrifts, non-bank financial companies, mortgage companies, insurance companies, and investment banks. Clients range from global institutions to small community banks, regulated by the Office of the Comptroller of the Currency, Federal Reserve, Federal Deposit Insurance Corporation, CFPB, state banking departments, Securities and Exchange Commission, Department of Housing and Urban Development, and Financial Industry Regulatory Authority. Our practice provides our consultants with broad exposure to standards and practices in a variety of markets, which is particularly valuable in identifying emerging problems and providing best-practice solutions.

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