Regulatory & Compliance
Whether we’re providing a global financial institution deep insight into a specific issue or offering holistic guidance to an emerging FinTech, our goal is the same: to provide practical, business-focused recommendations that help you address regulatory and compliance challenges.
We Know Your Business
In order to help you achieve your goals, we need to understand them—and how you like to get things done. We spend time working directly from our clients’ offices, especially during high-stakes regulatory and compliance reviews, to better understand your particular business goals. We also routinely second members of our team to clients for key projects to maintain continuity and consistent client support. This experience informs our approach to understanding your culture, and we ask questions about not just what you need, but how we can best communicate and work together.
Regulatory questions are often asked in the context of complex projects that involve numerous stakeholders. Our regulatory team is fully integrated with our market-leading financial services transactional team and our supervision, litigation, and enforcement team. Whether you’re launching a new product or conducting M&A due diligence, we can spot issues across all phases of the project and help you clearly communicate complicated legal concerns and analyses to all invested parties, from C-suite leaders to in-house legal and business team members to technology experts who need to understand the legal guardrails in order to build the product.
Covering the Waterfront
We advise on payments, lending, and banking products and services that include:
- Credit cards and other open-end credit products
- Loans, including mortgage, auto, installment plans, purchasing plans, indirect lending and similar closed-end products
- Deposits, electronic fund transfers and other banking services
- Online marketplace and social sharing ecosystems
- Payment processing, money transfers and other retail and peer-to-peer funding solutions
- Prepaid, gift cards and other stored value solutions
- Financial management and other data aggregation services
Legal and regulatory areas we provide counsel on include:
- Consumer and small business credit laws
- Money transmission
- Unfair, deceptive and abusive acts and practices (including CFPB, FTC and state)
- Fair lending
- Financial privacy and security
- Bank Secrecy Act (including anti-money laundering) and OFAC
- Funds transfer and deposits
- Network compliance and enforcement
- Vendor and other third-party service provider management
- Debt collection
- Bank regulatory
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