Regulatory Compliance
Are regulators poised to impose significant restrictions on your business? Even with the best laid plans, unexpected risks can suddenly throw an organization into crisis. Survival often depends on having a readily available team of seasoned professionals with the legal, financial, regulatory, and public relations skills needed to work side-by-side with corporate management as the turmoil unfolds.
Treliant Risk Advisors can develop and implement an effective regulatory compliance program, which covers fair lending laws, fee limitations, licensing rules, and other requirements.
Our Regulatory Compliance services for our clients include:
Compliance Program Development
- Risk Assessment
- Anti-Money Laundering
- Bank Secrecy Act
- Community Reinvestment Act
- Consumer Regulations
- Regulatory Filings and Submissions
- Broker-Dealer, Hedge Fund, and Private Equity Compliance
Fair Lending
- Redlining Readiness Check
- Risk Assessment
- Program Evaluations
- Statistical Analysis
- Mystery Shopping and Matched Pair Testing
- Strengthening the Fair Lending and CRA Programs
Model Validation
- ALM Process and Model Validations
- Model/Process Documentation
- Prepayment Model Calibration Studies
- Mystery Shopping and Self-Testing
Strengthening the Compliance Program
- Strategic Planning for Compliance
- Program evaluation and enhancement
- Structure and Staffing Review
- CFPB Readiness Check
- Risk Assessment
- Risk Metrics and Reporting
- Enhancing Risk Controls
- Efficiency Evaluations
- Training/Board Training
- Broker-Dealer, Hedge Fund, and Private Equity Mock Audits
UDAAP Readiness – Unfair, Deceptive, or Abusive Acts or Practices
- UDAAP Readiness Check
- UDAAP Risk Assessments
- UDAAP Complaint-Management Systems
- UDAAP Controls Review
- UDAAP Product Reviews
- UDAAP Audits
- New Product Due Diligence Reviews
- Monitoring and Audit Review
- Metrics and Reporting
- Training