Regulation & Compliance

  • Overview
  • People

For more than 30 years, Lindquist & Vennum’s Financial Institutions group has represented banks, bank holding companies, officers, directors and other institution-affiliated parties throughout the country in regulatory matters ranging from negotiating a cease and desist order to complex regulatory compliance matters.

The Financial Institutions Group counsels clients on matters involving safety and soundness and compliance, including:

  • Negotiation of enforcement actions, including Cease and Desist Orders, Memorandums of Understanding and Board Resolutions

  • Responding to negative examination reports

  • Reg Z/Truth in Lending Compliance

  • Responding to 15-day letters and civil monetary penalties (CMP) assessments, removals and investigative demands

  • Assisting banks and bank holding companies in preparation of capital plans

  • Failed bank litigation

  • Affiliate and Reg O transactions, lending limit analysis, BSA, Suspicious Activity Reports

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