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In-House Banking and Financial Services Center
Practical Law Toolkit 5-582-7385 (Approx. 28 pages)
In-House Banking and Financial Services Center
by Practical Law Finance
| Law stated as of 27 Feb 2020 • USA (National/Federal) |
A selection of resources covering key issues and legal matters encountered by in-house lawyers in banking and financial services institutions. Topics include regulation of financial institutions, consumer financial regulations, general lending transactions, broker-dealer regulation, swaps and derivatives, securitization, and real estate lending transactions.
The banking and financial services industry is heavily regulated in the US, and is subject to numerous federal and state legal and regulatory restrictions and requirements. This resource center contains a collection of resources that are of particular interest to in-house counsel at banks and financial services companies who are engaged in a variety of transactions ranging from general lending and real estate to financing and securitization.
This resource center is no longer maintained. The Practical Law teams have developed a cross-practice collection to monitor banking and financial developments closely. All of our related resources can be found on Practical Law's Financial Services Page.
The resources in this collection are divided into the following categories:
- Regulation of financial institutions, including:
- financial institution-specific requirements and restrictions;
- transaction-specific regulations;
- prudential and capital requirements;
- investments and M&A;
- officer, director, and management requirements;
- anti-money laundering and OFAC rules; and
- risk management.
- Consumer financial regulation, including:
- supervision and enforcement procedures;
- disclosure obligations;
- unfair, deceptive, and abusive acts or practices (UDAAPs);
- fair lending;
- privacy and accuracy of financial information; and
- service provider oversight.
- General lending, including:
- due diligence;
- transaction documents;
- collateral and guaranties;
- loan closing; and
- defaults, restructuring, and bankruptcy.
- Swaps and derivatives, including:
- the ISDA master agreement and related documentation;
- swaps and derivatives regulation under the Dodd-Frank Act; and
- global and non-US swaps and derivatives regulation.
- Real estate lending, including:
- due diligence;
- transaction documents;
- collateral and guaranties;
- loan closing; and
- defaults, restructuring, and bankruptcy.