Financial Institutions and Banking

Safety and Soundness Standards of Financial Institutions and Banks

Safety and Soundness Standards of Financial Institutions and Banks

The safety and soundness of financial institutions have taken center stage in regulatory scrutiny in the wake of the financial crisis. NERA has been on the forefront of litigation and regulatory consulting, helping clients navigate the complex regulatory landscape and respond to legal challenges. Our experts have assisted financial institutions by evaluating their historical risk management and compliance practices, as well as building out sustainable safety and soundness frameworks going forward. In addition, as directors and officers of failed institutions continue to face legal scrutiny over business strategies and underwriting practices employed prior to and during the financial crisis, NERA experts have provided objective assessments of these practices and professional conduct, and helped parse out different contributing causes of the institutions' failures. As the post-Dodd-Frank Act regulatory environment is taking shape, NERA can assist financial institutions in managing emerging regulatory risks and enforcement challenges.

As many of NERA's experts have held key positions at the US regulatory agencies and leading financial and advisory institutions, we are uniquely positioned to help our clients assess and manage safety and soundness standards at their institutions. Our expertise covers a wide range of related areas, including:

  • Corporate governance and enterprise risk management
  • Loan underwriting standards and risk rating assessment
  • Regulatory loan portfolio standards and requirements
  • Loan concentration limits/guidance
  • Capital requirements
  • Duties of bank boards and directors and officers
Name Title Location Phone Email
Dr. Patrick Conroy Managing Director
Chair of NERA's Securities and Finance Practice
New York City +1 212 345 1466 patrick.conroy@nera.com
Title Type Author
Expert Analysis: Financial Crisis Anniversary - Trends In Credit Crisis Settlements Published Article By Faten Sabry, Sungi Lee, and Linh Nguyen
PDVSA’s Peculiar Oct. ’22 Bond May Carry Elevated Risks Report By Timothy McKenna and Raphael Starr
Securities Class Actions: 2016 Full-Year Review and Mid-2017 Flash Update Published Article By Stefan Boettrich and Svetlana Starykh
BSA/AML Compliance and Enforcement: An Update for the Securities and Derivatives Indu... Published Article By. Sharon Brown-Hruska
Not All MBS Settlements Are Equal White Paper By Faten Sabry, Sungi Lee, and Linh Nguyen
Trends in Canadian Securities Class Actions: 2016 Update Report By Bradley A. Heys & Robert Patton
Trends in Regulatory Enforcement in UK Financial Markets 2015/16 Year-End Report Report By Robert Patton and Erin McHugh et al