Gillman Professional Corporation’s Regulatory Consulting Practice is a leader in providing strategic compliance advice on the full range of requirements facing regulated financial services entities and their non-financial counterparties.
We have extensive and long-standing relationships with the key regulatory authorities affecting the financial services industry. We offer experience and sophisticated advice to our clients in the application of regulatory requirements to all aspects of a client’s activities.
We have succeeded in obtaining positive and timely regulatory responses to initiatives that raise difficult and first-impression legal and regulatory issues. As a result, we have cultivated an excellent reputation among regulators for our legal and practical acumen, thoughtfulness, integrity, and creativity.
Examples of the practice’s leading edge consulting capabilities include:
- Bank incorporation and set-up – we develop the strategy and business case and manage and execute the creation of a bank, including the application process and business restructuring to reflect their new bank status
- Multi-Jurisdictional Analysis of Compliance Requirements – privacy, cost of borrowing disclosure requirements
- Corporate Governance– we have developed a risk management methodology to assist banks implement their corporate governance obligations
- Privacy and Information Protection and Security Measures – we have devised both a privacy compliance methodology as well as an information security compliance methodology that uses best practice standards to ensure security of information
- Supervisory Framework/Risk Management
- Anti-Money Laundering – we advise financial institutions on domestic and multi-jurisdictional compliance