Serving Global Financial Institutions
Latham’s Financial Regulatory Practice provides comprehensive counseling on local regulations relating to banking, securities, derivatives, futures, commodities, stock exchange matters, and other financial products and transactions.
The Financial Regulatory Practice advises leading banks and other financial institutions on a wide range of regulatory, risk management, and compliance issues. Lawyers in the United States (US), United Kingdom, Europe, the Middle East, and Asia provide advice on complex and first-impression situations faced by the financial services industry.
The practice advises clients on the expansion and introduction of financial products into local markets around the world, and 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.
Key Practice Areas
The practice expertise includes:
- Bank regulatory
- Broker-dealer/Investment banking regulatory
- Commodities, swaps, and futures regulatory
- Investment adviser/Investment company
- Securities regulatory
The group is composed of regulatory practitioners advising clients who are active across all segments of the financial markets. It has worked closely with regulatory bodies in the US, Europe, Asia, and the Middle East, applying domestic and global regulations that impact clients’ business operations.
The practice covers the full range of financial institution activities and comprises attorneys formerly with regulators throughout the world, including the US Securities and Exchange Commission (SEC), the US Commodity Futures Trading Commission (CFTC), and the US Department of Justice (DOJ).
The group has advised clients on a broad range of matters, including before:
- Commodity Futures Trading Commission (CFTC)
- European Banking Authority (EBA)
- European Systemic Risk Board (ESRB)
- Federal Reserve System
- 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)
- Options Clearing Corporation (OCC)
- Securities Exchange Commission (SEC)