Financial Services Regulatory and Compliance

Financial Services Regulatory and Compliance

Taft offers a nationally recognized financial services practice, with extensive experience advising depository institutions, non-depository lenders, money services businesses, and other financial institutions with respect to regulatory compliance, internal controls and risk management, prudential supervision, government and internal investigations, and civil, criminal, and administrative litigation. We regularly advise clients with respect to the following areas:

  • BSA/AML and Sanctions
  • Consumer Compliance, Consumer Protection, and Fair Lending
  • E-Payments and Money Transmission
  • Privacy and Data Security
  • Government Investigations and Litigation

Our team represents a diversity of views with a common thread: a deep understanding of the complexity and interplay of the statutes, regulations, guidance, and government initiatives that significantly impact our financial services clients on a daily basis. Our attorneys have experience working for prudential regulators, federal enforcement agencies, and in-house legal departments at financial institutions. This experience provides our team with an integral understanding of what our clients need and their regulators expect. We leverage that expertise to provide a range of services from real-time guidance during regulatory examinations, to remediating concerns identified by regulators, to proactively evaluating compliance and lending programs. And we routinely help our financial services clients respond to government investigations and, when necessary, defend against civil and criminal charges.

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