Examination and Enforcement
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Examination and Enforcement

In the wake of recent reforms, regulators have stepped up enforcement and examinations of financial institutions. Wielding a number of new legal tools, federal agencies, including the SEC’s Division of Enforcement, have the authority and political will to seek out and punish entities not adequately complying with regulations. Firms looking to gain a competitive advantage are adapting their compliance policies to meet the demands of the evolving governance system.


Promontory Examination and Enforcement Advisory Services offers financial and regulatory risk diagnostic and remediation services aimed at preempting, complying with, and mitigating the severity of regulatory enforcement action.   

Promontory is comprised of former senior regulators and bankers who are regularly engaged to provide independent assessments of management and board supervision, risk management, asset quality, corporate governance, compliance, internal audit, and related control issues. We also routinely provide actionable recommendations intended to advance our clients toward industry sound standards, best practices, and regulatory expectations. 

Promontory Examination and Enforcement Advisory Services fall into two general categories: