Financial Services Regulatory

Clients count on Dorsey for advice on a broad range of compliance issues in an increasingly regulated environment. Federal and state restrictions have grown beyond traditional banking, broker-dealer, investment company, investment adviser and other requirements to include anti-money laundering, anti-terrorism, privacy and other objectives that are broad in scope and expanding.

Dorsey’s Financial Services Regulatory practice group advises clients on a broad range of matters, covering both regulated institutions and regulated activities. Areas of expertise include:

      • Anti-money laundering, Bank Secrecy Act and Patriot Act
      • Card services
      • Charter selection and consolidation
      • Classified assets management strategies
      • Commercial cash management product development
      • Compliance and risk management
      • Consumer credit
      • De novo bank charters
      • Dodd-Frank Act
      • E-Banking and mobile banking
      • Escheat/Unclaimed Property
      • Examination and enforcement
      • Executive compensation / incentive compensation
      • Federal Bank Holding Company Act
      • Federal banking agency regulations
      • Gramm-Leach-Bliley Act
      • Internal investigations
      • Lender Licensing
      • Mergers and acquisitions
      • OFAC
      • Payment systems
      • Privacy and data security
      • SEC, state securities regulations, FINRA
      • Transactions with affiliates

Dorsey’s Financial Services Regulatory Group consists of more than 20 lawyers, advising both U.S. and foreign banks and other financial institutions. In addition, these attorneys work in consultation with colleagues in Antitrust, Banking, Corporate, Tax, Trial and other specialties to deliver efficient and effective service to clients.