Regulatory Strategy and Advice
Home > Expertise

Regulatory Strategy and Advice

Representative Engagements

U.S. and international policymakers have responded to the financial crisis with a host of new laws, rulemakings and guidance. In the U.S. alone, the Dodd-Frank Act directs regulators to write several hundred rules and conduct dozens of studies, effectively compressing the volume of rulemaking usually occurring over decades into a few years of tremendous activity.


International regulatory bodies have also been busy implementing broad policy changes, including the Basel Committee on Banking Supervision’s Basel III framework and the Financial Stability Board’s work on Global Systemically Important Financial Institutions.  These policy changes will reshape the regulatory and business landscape of financial services companies for years to come.  It is critical that companies be aware of these changes, understand the impact on their businesses, and formulate strategies in response.

Promontory is ideally suited to help clients understand and respond to these changes.  Our professionals have served at all levels of regulatory policymaking bodies, including the Basel Committee, Financial Stability Board, Federal Reserve Board, U.S. Treasury, Japanese Financial Services Agency, U.K. Financial Services Authority, U.S. Securities and Exchange Commission, CEIOPS (now EIOPA), Bank of England, Central Bank of Canada, Australian Prudential Regulatory Authority, U.S. Office of the Comptroller of the Currency, and U.S. Federal Deposit Insurance Corporation. We are uniquely positioned to provide timely insights into regulatory expectations, areas of debate, and current trends.

In addition to general regulatory strategy and advice, we provide specialized advice in two specific areas:

  • Managing Change in Regulation and Supervision
  • Global Regulatory Developments

Representative Engagements

  • Advising U.S. and international banks, insurance companies, and other financial institutions on virtually every aspect of Dodd-Frank, including systemic risk, living wills, the Volcker Rule, and Title VII derivatives changes
  • Performing gap analyses for large banks on the impact of the Dodd-Frank derivatives provisions and assisting them with required operational changes
  • Assisting banks in crafting recovery and resolution plans in jurisdictions that have implemented requirements for such plans  
  • Advising U.S. and international trade associations on international and U.S. regulatory developments and their interaction with one another, and preparing comment letters in response to specific proposed rules
  • Advising U.S. and foreign financial institutions on all aspects of U.S. regulatory developments
  • Advising an internationally active mortgage insurer on U.S. housing and securitization reform issues as well as international developments on regulation of systemic entities
  • Studying on the impact of mortgage insurance on probability of default in connection with the scope of the qualified residential mortgage exemption from risk-retention requirements

Enter Below Code :