Financial Regulatory

Latham’s Financial Regulatory Practice delivers insightful advice, analysis, and representation to financial institutions and companies on the world’s increasingly complex financial regulatory regimes.

We provide banks, private banks, broker-dealers, insurers, investment companies, asset managers, payments exchanges, trading utilities, and other fintech and financial services firms comprehensive counseling on current and emerging regulations. We advise on matters related to banking, securities, derivatives, futures, commodities, stock exchanges, and other financial products and transactions. We integrate seamlessly with deal teams to advise on the legal and regulatory risk management aspects of major transactions. And we team with Latham’s top-ranked litigators to resolve thorny regulatory investigations and enforcement matters.

With on-the-ground capabilities in the world’s major financial centers in the US, UK, Europe, the Middle East, and Asia, we regularly advise on complex and first-impression situations that the financial services industry faces. We counsel clients on the expansion and introduction of novel financial products into local markets around the world. We also advise governments and financial regulators in the development of legislation, rulemaking, and legal policy, including the design of securities laws, listing rules, financial markets regulation, and other law reform projects.

Latham’s financial regulatory group comprises a number of former financial regulators, including officials from the US Securities and Exchange Commission (SEC), US Commodity Futures Trading Commission (CFTC), and US Department of Justice (DOJ). We leverage strong working relationships with the world’s major regulatory bodies to effectively advise clients active across all segments of the financial markets and operating under the full spectrum of domestic and global regulations.

The group advises clients on a full range of matters involving the rules and regulations of regulatory authorities, including:

  • Commodity Futures Trading Commission (CFTC)
  • European Banking Authority (EBA)
  • European Systemic Risk Board (ESRB)
  • Federal Reserve System (FRS)
  • Federal Deposit Insurance Corporation (FDIC)
  • Financial Conduct Authority (FCA)
  • Financial Industry Regulatory Authority (FINRA)
  • Investment Industry Regulatory Organization of Canada (IIROC)
  • Israel Securities Authority (ISA)
  • Hong Kong Monetary Authority (HKMA)
  • Monetary Authority of Singapore (MAS)
  • New York Department of Financial Services (NYDFS)
  • Office of the Comptroller of the Currency (OCC)
  • Prudential Regulatory Authority (PRA)
  • Securities Exchange Commission (SEC)
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