Regulatory Compliance and Enforcement

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In the past decade, the USA Patriot Act of 2001, the Sarbanes-Oxley Act of 2002, the Troubled Asset Relief Program of 2008 (TARP), and the Dodd-Frank Act of 2010 have greatly affected the environment in which banks and other financial institutions operate. In this increasingly complex regulatory environment, Kennedy Sutherland’s attorneys have an in-depth understanding of applicable regulations, and draw on their extensive knowledge to help banks and financial institutions ensure compliance with numerous state and federal regulations that govern their day to day operations.

Our attorneys consistently advise financial institutions on regulatory compliance and enforcement, complex transactions and other expansion activities subject to state and federal securities and banking laws. At the federal level, we work closely with representatives of the Office of the Comptroller of the Currency, Federal Reserve Bank, Federal Deposit Insurance Corporation, Consumer Financial Protection Bureau and the Securities and Exchange Commission, among others to help ensure that our clients are in compliance with all rules and regulations. At the state level, we represent bankers at the Texas Department of Banking, Texas Savings & Mortgage Lending Department, and Office of the Consumer Credit Commissioner.

Recent regulatory work:

  • Consumer compliance with federal and state laws and regulations
  • Assistance with developing compliant new products and services, including multi-state reviews
  • Community Reinvestment Act
  • National Flood Insurance Program
  • Bank Secrecy Act / Anti-Money Laundering compliance, including training
  • Corporate expansion
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