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Kate Wellman

Kate Wellman

Financial Regulatory Advice & Response
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Kate Wellman

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About

Expertise
Consulting
Legal
Risk & Compliance
Company

Moore & Van Allen, PLLC

 Member, Financial Regulatory Advice & Respons...
Headquarters

100 North Tryon Street, Suite 4700, Charlotte, NC 28202-4003, USA

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Kate Wellman

Member, Financial Regulatory Advice & Response, Moore & Van Allen PLLC

Kate manages large-scale regulatory compliance projects for financial institutions, including related to development of state and federal law inventories, LIBOR transition, recovery and resolution planning, and compliance with global shareholding related requirements.  She has had leading roles in multiple firm projects involving remediation stemming from consent orders and other regulatory actions and has worked with various constituencies across her clients’ organizations to prepare narrative responses to findings and implement regulatory commitments.  Kate further advises institutions on requirements under a variety of state and federal laws and regulations, including the Bank Holding Company Act, Commodity Exchange Act, Dodd-Frank Act, and federal securities laws. 

Kate’s investigations practice includes representation of financial institutions in inquiries involving the U.S. Department of Justice, the Commodity Futures Trading Commission, the Securities and Exchange Commission, the Office of the Comptroller of the Currency, the Federal Reserve, the U.K. Financial Conduct Authority, and financial regulators in other foreign countries. Kate has conducted internal investigations across a range of industries and managed and coordinated reviews relating to systems and controls issues, including analysis of cross-border accounts for anti-money laundering and tax compliance issues.

Kate also has experience assisting clients in a range of commercial disputes in federal and state courts, including matters involving breach of contract, business torts, breach of fiduciary duty, and federal securities laws. Kate maintains a pro bono practice that has involved representation of clients in state court housing matters and federal court trials in Section 1983 civil rights matters and drafting of state complaints related to special education issues.

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Locations (1)

Location Map
Headquarters

100 North Tryon Street, Suite 4700, Charlotte, NC 28202-4003, USA