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Financial Institutions Regulation, Supervision & Technology

Practice Overview

Eight years post-financial crisis, many banks, financial services institutions, and fintech companies are still saddled with onerous limits on their ability to operate at their full potential and deliver maximum results to their shareholders. Buckley Sandler’s Financial Institutions Regulation, Supervision & Technology (FIRST) team helps banks, financial services institutions, and fintech companies deliver an enterprise-level “whole institution” perspective to their regulators — from risk and data management to capital planning, governance and other prudential issues — which can significantly expedite the lifting of limitations and empower firms to execute on their long-awaited growth strategies.

Specifically, the FIRST team provides clients with cost-effective solutions to enterprise-level strategic challenges, including:

  • Handling bank mergers and acquisitions
     
  • Remediating and responding to regulatory matters requiring attention across various disciplines — from capital and prudential concerns to consumer financial services
     
  • Analyzing regulator concerns regarding risk, regulatory, compliance, securities, capital planning and management, and establishing enterprise-wide positions for favorable review by supervisors
     
  • Chartering foreign banks and finance-related companies in the U.S.
     
  • Structuring investments and activities for financial holding companies operating under 4(m) agreements and other regulatory limitations
     
  • Creating regulatory-compliant structures for novel technology advances
     
  • Shepherding new service delivery channels and fintech companies through the complicated regulatory approval process
     
  • Implementing required regulatory changes
     
  • Developing cross-border regulatory positions to facilitate review by global senior supervisory colleges

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Our Financial Institutions Regulation, Supervision & Technology Team