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Financial Services & Regulatory Compliance

The group has represented national, regional and community banks in regulatory matters.  The group has assisted in the formation of banks and industrial banks in Utah including compliance with requirements of state and federal regulatory agencies including FDIC. The Group has advised bank boards of directors on regulatory compliance, corporate governance, and strategic planning. Members of this group have served on bank boards including service on audit committees. The group has also assisted in the training of directors of newly formed financial institutions on their duties and responsibilities.

The group provides training for financial services companies in federal and state regulatory, compliance, and enforcement matters, including those involving anti-money laundering under the Office of Foreign Assets Control (OFAC) regulations and the USA Patriot and Bank Secrecy Acts; the Sarbanes-Oxley Act; the Gramm-Leach-Bliley Act;  the Community Reinvestment Act; and other statutes and regulations covering electronic payments, federal deposit insurance, consumer loan and leasing transactions, deposit and investment related matters, corporate and board governance, and other compliance-related issues. 

The group also works closely with trade associations and other organizations that work with or represent financial service companies.



Attorneys
George R. Sutton (Group Leader)
Daniel S. Daines