Compliance Services
I. Technical Regulatory Assistance Services
I. Synopsis of New and Revised Regulatory Requirements
We will analyze and summarize important new consumer laws and significant revisions to existing banking regulations, and highlight which bank functions are affected.
2. Legality Review of Bank Advertising
We will examine the format and content of each type of bank advertising prior to production to determine if all applicable legal requirements have been met.
3. Pre‑examination Preparation, Regulatory Examinations
We will assist in the gathering and organizing of all relevant information and data required by the bank's regulatory agency; and we will review all such material prior to the arrival of the regulators to help identify and correct any violations of law that exist, to the extent possible.
4. Post‑examination Analysis and Recommendations
We will review preliminary examination findings to help corroborate such findings based on all available facts in conjunction with current regulatory interpretations and precedents. We will also analyze the findings in the final examination report and make specific recommendations for cost effective corrective actions to senior bank management.
5. Compliance HELP‑LINE
We provide ongoing technical compliance assistance via telephone to various financial institution clients, typically within 24 hours.
Each of the above services is available on an as‑needed basis on a standard hourly billing rate, or may be contracted for annually per an established volume of hours.