SW&M has more than 30 years of experience with regulatory examinations, working on behalf of multiple financial institutions across the country and with NCUA, OCC, FDIC, and state regulators.
Our team has the perspective and expertise to successfully navigate the regulatory examination process. We know how to help clients avoid pitfalls ranging from operational risks and missteps to communication issues between examiners and executives, or simply unexpected changes in the regulatory environment.
We frequently assist leadership with responses to conflicts with examiners. In fact, SW&M attorneys have built the relationships and knowledge needed to resolve most disputes quickly and informally, so everybody can get back to business.
Clients rely on our firm to keep management and Boards of Directors on top of current trends in examinations as well as the broader regulatory environment. We have also helped a number of clients navigate to successful conclusions in multiple appeals of CAMELS ratings, letters of understanding and agreement, preliminary warning letters, documents of resolution, cease and desist orders, civil penalties, forbearance requests, and other regulatory actions.
