Practice Areas & Industries: Gordon Silver


Financial Institution Regulation Return to Practice Areas & Industries

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Practice/Industry Group Overview

The Financial Institution Regulation Group at Gordon Silver provides a broad range of representation of banks and other financial institutions in the areas of regulatory compliance, permissible activities and products, capital adequacy, enforcement actions, troubled bank situations, new bank and bank holding company formations, mergers, laws governing confidentiality and public disclosure, and acquisitions of control. In addition, the Group works closely with members of the Commercial Litigation Group and Government Investigations & Business Crimes Group to provide litigation representation in all matters that affect the organization and operation of financial institutions, as well as individual directors and officers.

Our clients include banks, bank holding companies, credit unions, other financial institutions, and related parties. We are experienced and skilled in navigating our clients through the complex web of federal and state banking laws, regulations, regulatory policies and informal guidance, and divisions of authority among the various federal and state regulatory authorities.

We offer comprehensive counseling with respect to all areas of regulatory compliance and operational concerns, including changes in capital structure or control, branch acquisitions and dispositions, related party transactions, lending and investment limits, confidentiality and public disclosure issues, securities law compliance, informal regulatory oversight and formal enforcement actions, corporate governance, executive compensation, responsibilities of directors and officers, and indemnification agreements for protection against director and officer liability.

When faced with capital-raising needs, contests for corporate control, changes in management, or issues involving corporate governance or investor relationships, banks and other financial institutions generally must deal with the same laws that apply to other business entities, plus a complex layer of additional laws, regulations and regulatory policies that apply to their special industry. Our Financial Institution Regulation Group includes highly-skilled corporate and securities law attorneys who can efficiently and cost-effectively guide clients through both worlds.

In short, our Financial Institution Regulation Group can assist financial institutions and related parties in understanding and satisfying their duties and responsibilities under the special state and federal laws and regulations that apply to their industry, and in their dealings with federal and state regulatory authorities.