Regulatory and Transactional Matters

We regularly advise and represent financial institutions on a broad range of regulatory matters, including representation of financial firms and their officers and directors before federal and state regulatory authorities, consulting with management and boards of directors on the implementation of new regulations, assistance with compliance issues, and corporate governance matters. Our attorneys guide clients in their relationships with customers and in their activities as lenders, underwriters, investment and merchant bankers, broker/dealers, placement agents and advisors in complex public and private financial transactions.

Our experienced transactional and financial institutions attorneys provide advice and assistance to clients on a broad range of subjects, including the chartering of new banking organizations, the expansion of regulated banking and non-banking activities, branch acquisitions and divestitures, mergers and acquisitions, ownership succession, business planning, capital raising transactions, and securities law
compliance.