Project Background

A Federal Agency that serves as a specialized financial institution regulator (Regulator) required assistance with strategic operational and financial support in developing, planning, and assisting the Regulator in readiness to resolve, remediate and manage troubled specialized financial institutions.

Services & Solutions

  • Planning for resolution of small to medium specialized financial institutions, including:
    • Determination of the necessary legal agreements
    • Asset due diligence
    • Monitoring of financial assistance granted
    • Compliance with existing financial controls, accounting, and all related resolution functions
    • Development of a comprehensive institution transaction strategy
    • Staffing plan for a failing institution
  • Recommendation for procedures and information requirements for holding a bidders conference
  • Development of the strategic and staffing plan for a closing/ liquidation scenario involving a small sized specialized financial institution (up to $500 million) and for a medium size ($2B)
  • Development of a detailed list and brief description by function of activities for receivership operations (the post-closing activities) for both the liquidation and whole institution resolution scenarios
  • Assistance in communicating concepts and recommendations to the Regulator’s Boards and senior staff

Outcome & Results

  • Resolution readiness plan
  • Stakeholder buy in for established processes and procedures

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