Compliance & Regulatory

Our nationwide Compliance & Regulatory Section is led by David Israel (metro-New Orleans) and Michael Del Valle (Buffalo). 

Over the last decade, many new consumer protection laws have been enacted or amended. Our team is adept at analyzing these evolving changes, particularly as they relate to receivables management, consumer credit, and banking industries.

Federal and State Audits & Examinations 

We assist clients in the financial sector with audit preparation and on-site assistance during audits and examinations before federal and state agencies, such as: 

In coordination with our Licensing Section, most often for debt collectors and debt buyers, we also draft and coordinate responses to various government inquiries and investigative requests. 

Debt Collection Communication Reviews (Verbal and Written) and Policy Drafting and Analysis  

The compliance team regularly conducts detailed compliance reviews and risk management assessments of letter, email, script, and other consumer debt communication campaigns to provide analysis and specific recommendations. In addition, we frequently draft and evaluate business policies and procedures concerning credit reporting, debt collection, payment processing, privacy, and other consumer protection issues. Importantly, we assist clients in building robust monitoring and auditing mechanisms to implement such policies. 

Ultimately, we act as a “compliance partner” with our clients to formulate internal processes to promote practical compliance solutions and smooth operations. 

Day-to-Day Advice and Consumer Defense Assistance 

A critical part of our practice is providing preventive, proactive, problem-solving advice that is practical. 

Through our Compliance Partner Program, enterprise clients have weekly or bimonthly calls where agendas are created in advance to ensure that trending issues and yet-to-be implemented laws are addressed; special focus is given to specific client concerns and to pre-suits or cases we are handling for the client. 

What We Provide: 

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