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

“They’re brilliant! They’re hardworking, and they can easily think like a business owner and make decisions optimizing for our entire business, not just in terms of legal liability. I can’t think of a single thing that I would change about them.”

 Chambers USA 2017

Events

Cache of the Titans: Data vs. FinTech?Singapore FinTech Festival SeminarsInvesting in FinTech Companies

Media Coverage

Cryptocurrency, Blockchain, FinTech Trailblazer: Vivian MaeseThe Brave New World of ICOsCapital Markets Group of the Year: Latham & Watkins

News

Latham & Watkins Advises CDPQ on the Acquisition of FNZVivian Maese Named Cryptocurrency, Blockchain, and FinTech TrailblazerLatham Advises Nivaura on its Participation in the Fourth Cohort of the FCA’s Regulatory Sandbox

Thought Leadership

Hong Kong’s SFC Issues Significant Announcements on the Regulation of Virtual AssetsBrexit and Financial Services — Onshoring MiFID IIUK Cryptoassets Taskforce Publishes its Final Report

Webcasts & Podcasts

A Path Forward for Consumer Tokens?Derivatives Market Year in Review