Regulatory and Compliance Services

In the enforcement era, the need to be diligent in obtaining and implementing advice for operational regulatory and compliance will only increase.  In the wake of the financial crisis, regulators have made it all too clear that financial institutions must adhere to well-founded processes and policies that keep the consumer’s best interest at the forefront.  Current consumer protection based statutory schemes and regulations are not forgiving and too often, once a violation or perceived violation takes place, the only option is risk mitigation damage control.

In the current regulatory environment, avoidance of regulator scrutiny is a must.  The financial services attorney at QPWB can counsel and advise your organization on compliance with all consumer protection federal statutory schemes as well as similar statutes and regulations on the state level.  Our Regulatory and Compliance Services include the following:

  • Conducting mortgage origination and loan servicing compliance audits and program reviews
  • Analyzing proposed transactions to ensure compliance and to issue opinions
  • Representing financial services institutions in regulatory enforcement actions, reviews, audits and investigations
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