Regulatory & Financial Services

Frazier Law, PLLC’s Regulatory & Financial Services Law practice group provides financial institutions, insurance companies, fintechs and insurtechs, and other financial services companies with counseling and representation on regulatory matters relevant to their industries.  We advise clients on a wide array of strategic, licensing, enforcement, compliance management, product, corporate governance, and various other regulatory matters.   With significant experience working in and with financial regulators, our regulatory attorneys are especially adept at helping clients prepare to meet current and future regulatory obligations.  

 

Our Regulatory & Financial Services team has expertise advising public entities, contractors, and private clients on matters involving local, state, and federal regulations, including:

• Enforcement Actions: Our team has experience advising clients subject to regulatory inquiries, examinations, and enforcement actions brought by regulatory agencies such as the State and Federal Banking Regulators (OCC, FDIC and the Board of Governors of the Federal Reserve), State Insurance Departments, the U.S. Department of Justice, State Attorneys General, the Consumer Financial Protection Bureau, and the Federal Trade Commission.

• Regulatory Compliance: Guiding clients through the complexities of regulatory requirements, including under the Federal Trade Commission Act (FTC Act), State Unfair, Deceptive, and Abusive Acts and Practices (UDAAP) laws, Dodd-Frank Act, Equal Credit Opportunity Act (ECOA), Fair Housing Act (FHA), Truth in Lending Act, Fair Credit Reporting Act (FCRA), Bank Secrecy Act (BSA), Electronic Fund Transfer Act (EFTA), Federal and State Privacy Laws, State Insurance Statutes and Rules, and other consumer protection laws and regulations 

• Regulatory Policy: Representing clients before regulators and agencies with interests in policy development, including the National Association of Insurance Commissioners (NAIC) and Conference of State Banking Supervisors (CFPB).  In addition, this includes representing clients in rulemaking processes before administrative agencies, including drafting comments and providing analysis and advice on proposed rules.

• Public Contracting and Procurement: Advising on bid preparation, contract negotiations, and compliance with procurement laws.

• Board Governance and Compliance: Providing representation on or advice to boards of directors in the insurance and financial services sectors on various matters of importance, including acting as board representatives for companies that require an in-state board member.

 

Why Choose Frazier Law, PLLC?

Frazier Law offers a personalized approach, blending deep legal expertise with a thorough understanding of the unique challenges faced by financial services companies.  Our attorneys are dedicated to providing practical, cost-effective legal solutions designed to achieve your goals.

 

Contact us today to learn more about how we can partner with you to navigate the complexities of regulatory and financial services law.