Home Up Our Thoughts Industry Data Our People News



Contact Us

Regulatory Safety and Soundness

Managing regulatory risk as well as developing relationships with regulators has become more important to successfully operating in today's banking environment. Responding promptly to regulatory requests, especially when under informal or formal supervisory actions, is critical to the supervisory process and could lessen chances of elevated supervisory attention. In addition, anticipating regulatory issues, and discovering and addressing bank-wide problems before examiners arrive at the bank for an examination can help prevent the need for extensive supervisory follow-up, could avoid supervisory actions, and could keep supervisory ratings at satisfactory or better levels. 


Also, affiliate transactions including asset transfers, and management and other fees, among others, pose elevated supervisory risk if not properly completed. Bank Strategies LLC is prepared, through its team members, to help you navigate through various supervisory issues, including providing expertise and guidance on charter conversion considerations. Bank Strategies LLC team members have extensive regulatory backgrounds and can be called upon to assist  you in fulfilling your bank's supervisory expectations as well as enhancing regulatory partnerships. 

  • Examination preparation: Safety and Soundness and Compliance

  • Enforcement action compliance consultation

  • Consultation and assistance in responding to regulatory issues

  • Charter conversion consultation

  • Bank holding company and affiliate strategy consultation



Bank Strategies, LLC produces a periodic email covering a variety of topics including those shown on this web site in the "Our Thoughts" tab plus others that we do not add to this web site.  If you would like to be added to our email list, please email Jim Swanson at Jim@bankstrategiesllc.com with the term "Subscribe me" as the subject line of the email.  Thank you.


Contact Information:

Phone: 303-903-9369

Mail: 75 S. Joyce Street, Golden, CO 80401

EMail: Jim@bankstrategiesllc.com