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.

Why Latham

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)

Awards & Rankings

  • Asia Practice Recognized for Innovation - March 05, 2018
  • London Financial Regulatory Lawyer Named in The Lawyer Magazine’s Hot 100 2018 - January 29, 2018
  • Latham Honored as Capital Markets Practice Group of the Year - January 21, 2018
  • Frankfurt Finance Partner Named Among the Most Influential Women in German Business - December 19, 2017
  • New York Partner Named to Innovate Finance’s 2017 Women in FinTech Powerlist - November 20, 2017
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.” 
 Chambers USA 2015 - Financial Services Regulation

Events

Energy and Infrastructure Cocktail Party18th Annual International Conference on Private Investment Funds

Media Coverage

The Brave New World of ICOsCapital Markets Group of the Year: Latham & WatkinsFINRA's Capital Acquisition Broker Rules Face Tough Sell

News

Firm Hosts Seminar in Hong Kong to Discuss Trends in US Margin Loans and Equity Derivative TransactionsExperienced Regulatory Partner Will Join Latham & Watkins in LondonAsia Practice Recognized for Innovation

Thought Leadership

FCA Sets Expectations for Robo-AdvisersSEC’s Proposed “Best Interest” Standard for Broker-DealersThe MiFID II Inducements Regime

Webcasts & Podcasts

Derivatives Market Year in Review