Regulatory Compliance

Vorys attorneys assist financial services companies to ensure they are complying with increasingly complex federal and state laws and regulations, including the compliance regulations imposed by banking regulators and the regulations generally applicable to all companies.

Vorys lawyers have counseled clients on all aspects of the Dodd-Frank Wall Street Reform and Consumer Protection Act’s (Dodd-Frank) financial regulations.  We routinely assist clients with regulatory issues involving the following provisions of Dodd-Frank:

In addition to our assistance with Dodd-Frank compliance, our services to publicly held banking clients include assistance with Securities and Exchange Commission filing requirements, such as annual, quarterly and periodic reports and Section 16 filings, as well as compliance with securities laws and regulations in connection with securities issuances, purchases and transfers.

We represent federally chartered and state-chartered savings and loan associations and savings banks, as well as their holding companies and subsidiaries, and counsel them on compliance with the myriad federal and state laws and regulations governing the operations of savings associations and financial institutions.  Our practice in this area ranges from drafting and revising institutional policies to representing our clients in enforcement proceedings.