Financial Services & Regulatory Compliance
At The Great Recovery, we provide comprehensive legal services to financial institutions, investment advisors, broker-dealers, and other financial services providers. Our deep understanding of financial regulations helps clients navigate complex compliance requirements while achieving their business objectives.
Schedule a ConsultationOur Financial Services Practice
We offer a full range of legal services tailored to the unique needs of the financial services industry:
Banking Regulation
Advising banks and financial institutions on regulatory compliance, examinations, and enforcement matters.
Investment Management
Assisting investment advisors and funds with formation, registration, and ongoing compliance.
Consumer Finance
Advising on TILA, RESPA, ECOA, FDCPA, and other consumer protection laws.
Compliance Programs
Developing and implementing effective compliance programs tailored to your institution's needs.
Enforcement Defense
Representing financial institutions in investigations and enforcement actions by regulatory agencies.
Fintech & Payments
Advising on money transmission, payment systems, and emerging financial technologies.
Regulatory Framework
We assist clients with compliance across the full spectrum of financial regulations, including:
Dodd-Frank Act
Comprehensive financial reform and consumer protection
Bank Secrecy Act
AML/CFT compliance and reporting requirements
SEC Regulations
Investment Company Act, Investment Advisers Act, and more
CFTC Regulations
Commodity Exchange Act and derivatives regulation
State Money Transmission
Licensing and compliance for money services businesses
Privacy Laws
GLBA, CCPA, and other data protection regulations
Our Approach to Financial Services Law
Regulatory Intelligence
We stay ahead of regulatory changes to provide proactive guidance on emerging compliance requirements.
Risk Management
We help identify and mitigate legal and regulatory risks before they become issues.
Strategic Counseling
We provide practical, business-focused legal advice that aligns with your strategic objectives.
Industry Experience
Our team includes attorneys with deep experience in the financial services sector.
Contact Our Financial Services Attorneys
Whether you're launching a new financial services business, facing regulatory scrutiny, or need ongoing compliance support, our experienced attorneys are here to help you navigate the complex financial regulatory landscape.
Schedule a ConsultationFrequently Asked Questions
What types of financial institutions do you represent?
We represent a wide range of financial institutions including banks, credit unions, investment advisors, broker-dealers, money services businesses, fintech companies, and other financial services providers.
How can you help with regulatory examinations?
We assist with examination preparation, represent clients during regulatory examinations, help respond to examination findings, and defend against enforcement actions when necessary.
What is involved in developing a compliance program?
A comprehensive compliance program typically includes written policies and procedures, employee training, monitoring and testing, a system for addressing consumer complaints, and an independent audit function.
How do you stay current with changing financial regulations?
We actively monitor regulatory developments through legal research, industry publications, participation in professional organizations, and direct engagement with regulatory agencies.
What should I do if my company receives a regulatory inquiry?
Contact legal counsel immediately. Early involvement of experienced regulatory attorneys can help ensure proper handling of the inquiry and prevent missteps that could lead to more serious consequences.