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Customized Financial Institution Compliance Program

Hodgson Russ assisted a national financial institution with the development and implementation of a customized compliance program to address the institution’s response to subpoenas, summons, and information requests. The compliance program was designed to ensure adherence to the institution’s obligations under the Gramm Leach Bliley Act, the Right to Financial Privacy Act, the Internal Revenue Code, and various state laws and regulations, while also protecting customers' privacy and their ability to challenge the release of their information in certain circumstances.