Financial Services Regulatory

AFCC’s Financial Regulatory Unit and Compliance Group brings together attorneys from offices and practices worldwide to assist financial services firms of all types and sizes, as well as their holding companies, and investors and vendors to those firms. We provide guidance on national and global regulatory, supervisory, enforcement, litigation, legislative and policy, licensing, compliance, corporate, and governance matters.

We consult regularly with staff from the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Consumer Financial Protection Bureau (CFPB), the Federal Trade Commission (FTC), Office of the Comptroller of the Currency (OCC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve Board (FRB), U.S. Department of the Treasury, Financial Crimes Enforcement Network (FinCEN), Commodities Futures Trading Commission (CFTC), U.S. Department of Justice (DOJ), U.S. Department of Housing and Urban Development (HUD), as well as state financial services regulators, securities agencies, and attorneys general offices.

With our global reach, we additionally consult regularly with European, Latin American, and Asian financial regulators. We provide our clients with practical strategies to meet their legal and regulatory needs efficiently.