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Bank & Regulatory

Financial Institution and Regulatory Consulting

Protecting and enhancing one’s reputation is a significant goal for any financial institution or organization. To do so in a cost-effective and efficient manner in an economic environment of great scrutiny requires comprehensive solutions that consider an institution’s culture, governance, technology systems and existing programs. Braxton Consulting is experienced in providing a broad range of services to small and medium financial institutions.

Braxton assists clients in implementing customized, practical solutions designed to meet the regulatory risk-management challenges small and medium financial institutions require. Our professionals are seasoned practitioners, bankers and former regulators specializing in building compliance programs that anticipate risk trends and business focus to promote efficient implementation and maintenance.

Regulatory Compliance

Braxton Consulting’s Regulatory practice assists small and medium financial institutions and organizations with regulatory requirements and industry standards by addressing the risks associated with noncompliance in the dynamic area of financial institution regulation. We provide bank regulatory services to a broad cross-section of the financial services industry, including international banks, broker/dealers, insurance companies and large money services businesses.

Our professionals, who have held positions as high banking officials, regulators, compliance officers and lawyers, are accomplished problem solvers with diverse specialty areas of knowledge.

Our Services include:

  • Purchase of Banks advice and audits
  • Corporate governance
  • Financial Institutions Organizational structures
  • Bank holding company requirements
  • Tailoring policies and procedures
  • Organizational optimization
  • Independent testing
  • International Bank Regulatory compliance
  • Risk assessment documentation

International banking regulation

Our Tax, Legal, Regulation, Assessment, Remediation & Technology services for financial firms and institutions include:

  • Compliance Programs
  • Qualified Intermediary Audits
  • Impact Analysis
  • Withholding Tax Reviews
  • Health Checks
  • Private Letter Rulings
  • Other Tax International financial Advice
  • Documentation and File Remediation