Regulatory Compliance

The financial services sector is a highly regulated industry.  Many new regulations have been issued and many are still under development.  Old regulations are getting reinterpreted and enforced differently from the past.  Falcon Capital Advisors has the regulatory and industry expereince needed to help clients gain a clear understanding of the expectations of regulators and structure compliance activities in a manner that meets those expectations.


FCA Core Regulatory Compliance Services

  • Assess and verify the requirements of regulations
  • Assess the adequacy of existing compliance programs
  • Design and implement a comprehensive or targeted compliance program
  • Develop remediation plans to address regulator concerns or enforcement actions
  • Prepare regulatory applications and manage them through the review process 


Recent Client Engagement

FCA was engaged by a community bank to assist with the implementation of a remediation plan that was put in place in response to a regulatory Cease and Desist Order.  Other banks have also used FCA's strategic and technical assistance to obtain regulatory approval to engage in a new business activity.