- Offering strategic counsel on compliance with state and federal laws impacting financial services, including the Dodd-Frank Act, UDAP/UDAAP laws, and state financial laws.
- Securing necessary U.S. state and federal consents and assisting with additional transactional steps for emergency rescue of a global systemically important investment bank in 2023.
- Counselling banks, credit unions, and other financial services companies on bank-fintech partnerships.
- Responding to administrative actions by state and federal financial regulators (including state government audits, single- or multistate examinations, investigations, and enforcement actions) and providing litigation support for regulatory compliance matters.
- Conducting thorough CFPB readiness reviews, evaluating potential risks, and assessing the effectiveness of compliance management programs across a company’s business lines, operations, and products.
- Providing regulatory due diligence support to clients in the acquisition of financial services companies.
- Securing licensing and regulatory approvals from federal and state agencies for significant transactions and activities within the mortgage banking and financial services space.
Senior Associate,
- Phone: +1 202 239 3160
- Email: josh.dhyani@alston.com
Financial services clients value Josh’s guidance when it comes to regulatory compliance matters.