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Crisis Management

Major events threatening to impact a financial institution can arise from any number of sources, for example, negative media attention (or public/online attention); the sudden departure of a key executive; unanticipated special member/shareholder meetings; governance crises; unanticipated significant regulatory action against a financial institution (i.e., cease and desist orders, preliminary warning letters, divestiture orders, Letters of Understanding and/or Documents of Resolution); another institution using the financial institution’s name, similar URL, or holding itself out as the financial institution itself; theft of key information (investment subsidiary client lists); and cyber attacks or information security breaches.

SW&M has provided guidance to help address and implement crisis management plans which respond to a crisis in a clear, concise, and efficient manner. Among the areas financial institutions must juggle in a crisis are project management, coordination with regulators, investigators, and auditors, internal and external communications, and compliance with legal, regulatory, and governance formalities. SW&M has the tools, experience, and contacts to assist with each of these areas in any crisis your institution may face.