Banking and Financial Institution Law

Our Banking and Financial Institution attorneys provide transactional, regulatory and compliance counsel to a large and diverse group of financial institutions and financial service providers, as well as holding companies and investors of such institutions.

The practice group provides comprehensive representation on state and federal financial service laws, and enforcement matters, including anti-money laundering (AML), risk control, permissible investments, licensing and other regulatory issues. Herbert Law Group has represented commercial banks, thrift institutions, credit unions, specialty finance companies, insurance companies and money service businesses (MSBs), including domestic and international remittance companies and foreign currency exchange firms. Our attorneys have extensive experience dealing with the requirements under the Bank Secrecy Act (BSA), the USA PATRIOT Act, the Office of Foreign Assets Control (OFAC), the Foreign Corrupt Practices Act (FCPA) and the Gramm-Leach-Bliley Act (GLBA).

Banking and Financial Institution attorneys also provide clients assistance on related regulatory issues including mergers and acquisitions, product offerings, and corporate governance. Our team counsels clients with respect to financial reporting requirements, Sarbanes-Oxley (SOX) policies and procedures, and consumer privacy. On enforcement matters, we have represented clients with examinerships, cease and desist orders, and deferred prosecution agreements. We also provide advice regarding electronic banking and laws concerning payment and settlement systems.

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