Caroline Swett is a counsel and member of the firm’s Financial Institutions and Banking Groups. She advises domestic and foreign banks and other ...
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- A large financial services company under regulatory scrutiny in a complex sale of its bank’s fiduciary and custodial businesses and counseled on the remediation of related governance and other issues cited by the Federal Reserve and Office of the Comptroller of the Currency.
- A board of directors in conducting an internal investigation into bank management’s oversight of lending practices and recommended specific enhancements to written policies and procedures to reinforce and evidence compliance with supervisory expectations and best practices.
- A large financial services company in identifying complex domestic and cross-border Regulation W-implicating transaction flows and relationships, addressing the issue with regulators, and remediating compliance, risk management and governance frameworks.
- A bank within a large financial services institution, facing supervisory criticism for a possible failure to maintain the sanctity of its charter, in enhancing board of director and committee charters, processes and management policies, and provided board training, resulting in the bank achieving the highest possible management rating in its next examination.
- The board of directors of a community bank on significant restructuring initiatives.
- Yale Law School, 2012, J.D.
- Brown University, 2006, B.A.