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Organizational Governance and Financial Institutions

Governance is at the top of the agenda for regulators. Financial institutions are increasingly required to demonstrate they are properly organized, by the right people, within a culture that promotes accountability.

This involves taking a holistic view of a firm's governance structure — from the board, to senior management, to control functions and operational teams. It involves understanding what systems and controls the firm needs to operate effectively and safely — including where functions are outsourced. We can advise you on both the structures you need and how the regulator is likely to view them.

Practices

Contacts

Representative experience

Advised the board of a UK bank on UK corporate governance requirements and regulatory requirements applicable to the operation of board arrangements.

Represented the audit committee of a public company in dealing with allegations of inadequate internal accounting controls made by the company’s outgoing controller.

Represented a special committee of independent directors of a NYSE-listed company in connection with the company’s acquisition of an operating division from its controlling public company shareholder.

Advised various financial institutions on the adequacy of their governance arrangements either in advance of, or following, regulatory supervision visits.

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