The Practice

Navigating regulation to help financial services clients achieve their strategic goals.

Latham’s Financial Regulatory Team advises all types of financial services clients on the complex and dynamic regulatory regimes that impact day-to-day business, key transactions or that may lead to investigations or other regulatory actions. 

Whether advising traditional investment banks, asset managers and insurers, corporates, or emerging FinTech companies Latham FinReg lawyers draw on a sophisticated, up-to-the-minute understanding of the latest regulatory, risk management, and compliance developments, and how those developments impact clients’ businesses. The Latham team includes lawyers who focus on several high impact areas, and understand not only the regulatory framework, but the policy intention behind the rules, in order to provide clients with pragmatic and effective advice. 

The team regularly advises clients on corporate transactions, providing technical advice on commercial viability, obtaining necessary regulatory approvals, and reporting on the current and future potential regulatory risks to provide a holistic view. 

If regulatory issues become contentious, the team can draw on deep substantive knowledge to help clients quickly respond to anything from investigations to audits, to regulatory notification obligations, and proceedings. 

Mindful of the rapid developments and changing environment for our financial services clients Latham FinReg lawyers respond to clients’ needs, locations and matters by collaborating seamlessly with colleagues in Latham’s M&A, Capital Markets, Litigation, Employment, Tax, Data Privacy, Outsourcing, and Technology Transaction Practices. 

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“They are really proactive, invested in materials and very much 'on it' in terms of the regulators' focus and what companies can do about it."

Chambers UK 2021

“Latham has amassed a significantly sized regulatory team, with strength in depth across the team.”

Legal 500 UK 2021

“An ability to balance legal requirements with commercial practicality to craft solutions that no other firm could."

Legal 500 UK 2021

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