Financial Institutions

Latham supports financial institutions across cutting-edge transactions, sensitive regulatory and legislative matters, and high-stakes disputes and litigation — in all major jurisdictions across the globe.

We bring together globally integrated capabilities with deep experience and familiarity with the financial services industry to help financial institutions thrive amidst rapid regulatory change and technological disruption.

We keep a finger on the pulse of the key government and industry bodies that govern financial products and services worldwide, so our clients can remain ahead of the regulatory curve. Our top-ranked practitioners cover the full range of financial institutions activities, drawing insights from colleagues who have served as high-ranking officials with the US Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC), the Department of Justice (DOJ), and various US Attorneys’ Offices. Our industry team routinely represents financial institutions before government regulators in the US, UK, EU, the Middle East, and Asia, and provides comprehensive counseling that combines a global, cross-border perspective with local expertise relating to banking, securities, derivatives, stock exchange matters, and other financial products and transactions.

We advise financial institutions on matters including:

  • Acquisitions, dispositions, and joint ventures
  • Bank, broker-dealer, investment adviser, and market regulation
  • Derivatives, structured products, equity-linked products, commodities, futures, and swaps
  • Investment and asset management
  • Litigation, enforcement, and compliance
  • Strategic, policy and technical advice on matters relating to regulation and conduct
  • Environmental, social, and corporate governance (ESG)
  • Digital assets and blockchain technology 

Our experience with the full lifecycle of specialized financial products allows us to skillfully advise on new product assessment and development, transaction execution, on-going legal risk management (including dealing with defaults), regulatory developments, and litigation. We provide this comprehensive legal advice from virtually all the financial centers in the world to leading global and local investment banks, commercial banks, hedge funds, insurance companies, private equity firms, and exchanges. The group’s wide range of experience provides clients with a unique, full-service practice that is essential to navigate in today’s demanding and complex environment.

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Notice: We appreciate your interest in Latham & Watkins. If your inquiry relates to a legal matter and you are not already a current client of the firm, please do not transmit any confidential information to us. Before taking on a representation, we must determine whether we are in a position to assist you and agree on the terms and conditions of engagement with you. Until we have completed such steps, we will not be deemed to have a lawyer-client relationship with you, and will have no duty to keep confidential the information we receive from you. Thank you for your understanding.