Banking and Finance

ROC provides advice to financial institutions, mainly banks and entities in the process to become a bank, in a variety of regulatory and compliance matters across a full spectrum of services, covering law initiatives, developing and implementing compliance processes, evaluation and implementation of new products or processes, and regulatory procedures before banking regulators.

• Regulatory Advisory

We deliver creative and innovative solutions to navigate efficiently both internal and regulatory procedures before banking regulators, supporting our clients to handle strategic transactions and regulatory matters in the financial services space.

Our clients include national banks, digital banks, nonbank lenders, commercial entities (entidades comerciales), finance companies, asset managers and investment advisers.

‍Compliance

• Regulatory compliance due diligence and strategies
• Third party vendors and agents (comisionistas) due diligence and authorizations, pursuant to Chapter XI of the Mexican Banking Regulations (Circular Única de Bancos)
• Drafting of internal manuals and policies
• Ongoing compliance monitoring and risk assessment

Transactions

• Structuring and negotiating M&A and traditional or structured financings transactions
• Legal advisory on securities and collateral structures for credit transactions

• Regulatory impact and entry requirements planning within the Mexican market
• Cross-border transfer of information and personal data