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Our Financial Regulatory practice has been recognized as “active across most areas of regulatory concern including banking, derivatives and investment management” and is noted for handling a “vast array of regulatory work associated with transactions.” —  The Legal 500 2013

Financial Regulatory

Latham & Watkins’ Financial Regulatory Practice is respected by financial institutions and regulators alike for the insight and analysis we provide on the complex regulatory regimes facing financial institutions throughout the world.

Frankfurt Stock Exchange
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, 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 word, 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 comprised of regulatory practitioners that  advise clients who are active across all segments of the financial markets. It has worked closely with regulatory bodies in the United States, 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 is comprised of 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 Industry Regulatory Authority (FINRA)
  • Financial Services Authority (FSA)
  • 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)