Experienced Advocates Serving North Carolina
Even the savviest and most well-intentioned financial services providers may find today's rapidly evolving regulatory landscape difficult to navigate. Experienced legal representation can help you understand regulators' expectations upfront so that you do not become the target of an expensive, stressful, and damaging government investigation.
Our consumer financial services practice functions to help you avoid the cost and embarrassment of such investigations by focusing on developing compliant products, services, and internal policies. Our firm has advised clients on compliance and regulatory matters across the financial services industry. The scope of our services have included providing product and regulatory counsel on matters in industries including FinTech, mortgage originations and servicing, automotive finance, community banking, credit cards, online marketplaces, consumer lending, marketplace lending, and digital lending.
Our team understands that each of our clients' product offerings are unique, but that each of our clients is dedicated to offering best in class consumer services. We demand it.
We assist consumer financial services companies across the United States. Call us at (704) 859-0900 or contacting us online today!
How Can We Help You?
Committed to Your Success
Having previously served as regulators, in-house attorney, and outside counsel, our firm has navigated the compliance and regulatory landscape from every angle. We know the rules of the road, the lawmakers, and the enforcers. Our team is committed to leveraging our knowledge and resources to make your vision of offering innovative consumer services a reality.
Our consumer financial services in Charlotte include:
- Product and Regulatory Counseling. We immerse ourselves in your company's products and services to learn what sets you apart so that we can represent you in any stage of interactions with regulators.
- On-Site and Remote Examination Support. Our firm can provide representation both in-person and via off-site tools throughout any type of state or federal regulatory examination.
- Government Investigations. Our team understands the factors that regulators look to when deciding to pursue a public enforcement action. Our objective is to provide the roadmap for your business to avoid becoming the target of a government inquiry.
- Internal Investigations. Our team can help you perform internal investigations that aim to determine the cause and circumstances of misconduct, systemic failure, or some other critical issue. Conducting a thorough and transparent internal investigation can help you proactively resolve various types of problems and head off the possibility of an external government investigation.
- Compliance Systems and Policy Development. We help emerging companies develop best in class compliance management systems and policies and procedures. As your company grows, adherence to these systems and a culture of compliance can help companies avoid inadvertent compliance issues and demonstrate your business's good-faith efforts to comply with government regulations.
- Employee Training. Our team will also develop employee training materials that work to educate workers on important compliance and regulatory matters and how they intersect with their job responsibilities.
- Mock Regulatory Examinations. Our firm can facilitate “dry runs” that allow your business to prepare for regulatory audits and examinations.
- Licensing. Many industries are highly regulated at the federal and state level, and your company will likely need professional licenses to lawfully operate. We can help you obtain the necessary licenses and assist you with any challenges to those licenses that may come up through supervisory examinations.
Contact us online or call (704) 859-0900 to schedule a consultation.
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