Financial Services


The financial services regulatory environment has changed, and grown more complex, over the past decade in the wake of the global financial crisis that started in 2008. Global USA® has an active financial services policy and regulatory practice, and a roster of talented experts, capable of high-level representation on behalf of domestic and international clients in banking, asset management, insurance and mortgage finance before the Executive Branch, Congress, and domestic and international regulatory bodies. In addition, Global USA® provides consulting services on the most efficient strategies to comply with the most significant regulatory requirements imposed by the Office of the Comptroller of the Currency (OCC), the Federal Reserve Bank (FRB), “Basel III”, Sarbanes-Oxley (SOX), the Federal Deposit Insurance Agency (FDIC), various provisions of the Dodd-Frank Act (DFA), the Securities and Exchange Commission (SEC), the US Treasury Department (Treasury) and other regulatory bodies such as the New York Federal Reserve Bank (NYFRB).

We strive to ensure that our clients understand and are prepared to respond to the evolving policy and regulatory landscape and seek to deliver meaningful, measurable results.  The Global USA® team can cover virtually any issues related to financial services and taxes as they apply to financial services institutions, ranging from DFA implementation and oversight to policy monitoring and direct engagement on legislative and regulatory initiatives affecting banks, capital markets and global finance.  We have the credibility and access, as needed,  to engage with, and on behalf of, our clients before White House; all the significant policy and regulatory bodies in Washington and New York (including the OCC, FRB, FDIC, NYFRB, Treasury, etc.); Members of Congress; and the Committees and Subcommittees of the US Congress affecting financial services institutions, including the Senate Finance Committee, the Senate Banking Committee, the House Ways and Means Committee and the House Financial Services Committee. 

Further, we have strong relationships with all of the major “think tanks” in Washington/New York as well as the leading financial services industry associations that can affect policy and regulations important to financial institutions. These relationships include the Heritage Foundation, the Peterson Institute, the Cato Institute, the Brookings Institution, the American Enterprise Institute, the American Banking Association, the Financial Services Roundtable and others.

Our mission is simple:  educate, advocate and inform the debate on the most important domestic and international issues facing our client as well as assisting our clients on the most efficient strategies to comply with the major regulatory requirements that affect financial services institutions.