Banking & Finance

Compliance’s focus on the Banking and Financial sector is attuned to current and emerging trends, particularly banking regulation and its impact on data governance, data privacy, and cyber security; regulatory compliance and internal investigations; global monetary policy; and continued impact of consumer and commercial lendingThe financial services industry drives the global economy, empowering companies worldwide and in every business sector to grow and thrive. Whether a large national bank, a private investment firm, or a small regional savings and loan, Compliance has seasoned experts and matter-based experience to assist your internal teams and outside counsel with litigation, regulatory, fraud, and data breach issues. 

Sample Experience

  • Quarterly internal compliance email sweeps and ensuing review
  • International FOREX trade fraud
  • Mortgage-backed security litigation
  • Ongoing Subpoena compliance
  • Hart-Scott-Rodino bank merger second requests
  • Class action litigation for consumer bank fees and charges
  • LIBOR contract provision analysis 
  • SEC, DOJ, NYAG investigations 
  • PCAOB investigations and inquiries 
  • Internal compliance investigations 
  • Derivative action defense 
  • Investigations of financial restatements 

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