Welcome to Smith Regulatory Strategies LLC.

Smith Regulatory Strategies, LLC (SRS) provides management consulting and strategic advisory services to participants in the Financial Services industry as well as to investors in or those companies, law firms, consultants and other advisors which provide products or services to the industry.

SRS takes advantage of the 40+ years of experience of its Founder as a senior legal advisor, senior Federal bank regulator and, senior executive in a leading multinational payments enterprise. This experience has encompassed providing policy formation, operational and strategic direction, legal and regulatory support across most aspects of the dynamic Financial Services industry.

With the perspective of active and successful involvement in virtually all the major developments in the industry in the past 40 years and representing many of the industry’s leading participants, SRS has as its mission to provide pragmatic, actionable, effective and responsive business, policy and regulatory assistance in forming and implementing clients’ business strategies, improving regulatory compliance and responding to business and regulatory initiatives. SRS has assembled a cadre of uniquely experienced and respected Senior Advisors to animate its mission.

Smith Regulatory Strategies, LLC is a privately held, limited liability company. It serves its clients from locations in Washington DC, West Palm Beach Florida and, New York City.

SRS’ Senior Compliance Advisors Identify 2014 Regulator Compliance Hot Buttons

Services we specialize in:

Advisory Services, Capital Markets, Compliance, Diligence, Governance and Controls, Payments.


Payments Systems Consulting

We advise on many forms of Payments Industry challenges including: Wholesale and Treasury, Retail – Card, Mobile, e-Payments as well as Virtual Currencies/Online Transactions.


Risk Assessment and Strategy

Our Risk Advisory Services encompass review of lending and investment processes, internal controls, stress testing, capital allocation, portfolio analysis and, strategy development. Our partnership with New Oak Capital, LLC gives us state of the art analytical capabilities that linked to our regulatory experts’ assessment provide clients a comprehensive and actionable strategy for meeting regulatory requirements.



Litigation Support

Litigation Support

Risk Management

Risk Management

Industry News

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