Banking & Financial Institutions

Bank Regulatory and Corporate Organization & Governance

Quarles & Brady's representation covers all banking aspects of a client’s business, including regulatory compliance, agency supervision, and enforcement; mergers and acquisitions; corporate governance; and securities matters. Our bank regulatory services include compliance, monitoring and oversight, response to regulatory examination issues, and representation before agencies, including with respect to enforcement actions. The financial services regulatory and mergers and acquisitions team at Quarles & Brady is particularly experienced in transactions involving banks that consider adding to their geographic or business line footprint. In particular, the firm has broad experience in the transactional and regulatory aspects of acquisitions of small community banking institutions, as well as small- to mid-size financial institutions, private banks, wealth managers, and investment funds. We are also very experienced as in trust and bank asset management regulatory issues, having advised bank asset managers and trust companies on these issues in the contexts of examination, enforcement, and regionally and nationally known acquisitions/divestitures. We provide corporate governance and board of director advice, as well as advice on purchase investigations for potential acquisitions, codes of ethics and conduct, and implementation of corporate best practices.

Our collective experience includes:

  • representing clients in regulatory examination and enforcement matters before all federal bank and thrift regulatory agencies, as well as state regulators in Wisconsin, Illinois, New York, and other states;
  • representing clients on the regulatory aspects of all sorts of financial institution corporate transactions and expansion initiatives, including bank and thrift mergers, thrift mutual to stock conversions, and SEC compliance, purchases, and sales of nonperforming and distressed assets, as well as acquisitions of financial institution asset managers and corporate fiduciaries (including trust companies and custodians); and
  • advising boards of directors and senior management on all types of regulatory enforcement actions, internal investigations, and compliance with major laws governing financial institutions, including Dodd-Frank, the Bank Secrecy Act, international sanctions laws and regulations, the Truth in Lending Act, RESPA, and other consumer protection regimes administered by the Consumer Financial Protection Bureau.

Quarles & Brady brings a unique level of experience and perspective to our financial institution clients’ regulatory matters, and we create true value for our clients with our knowledge, judgment, and advice.

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