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

  • Four Latham Lawyers Named 2020 Rising Stars - July 05, 2020
  • Three New York Partners Named Notable Women in Law by Crain’s - December 17, 2019
  • Latham Named Most Innovative Law Firm in North America for Business of Law - December 11, 2019
  • Five Partners Receive 2019 MVP Honors - November 11, 2019
  • Five Latham Lawyers Named 2019 Rising Stars - September 08, 2019

“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

Latham is “fully equipped to advise on current and emerging requirements implemented by the SEC, CFTC, FINRA and NYSE, among others,” with “an expanding team [that] includes a number of alumni of the major regulatory bodies, enabling it to provide clients with crucial strategic insight.”

 Chambers USA 2020

Events

ABA Derivatives & Futures Law Committee Winter MeetingFinTech Futures: Predicting the Key Market Trends and Legal and Regulatory Developments in 2020 and BeyondWebcast – So, You Want to Launch a Stablecoin?

Media Coverage

Cross-Border Latham Team Acknowledged for Collaborating on First-Of-Its-Kind Blockchain ToolkitFinTech MVP: Latham & Watkins' Stephen WinkLatham and ConsenSys Partner on Convertible Note Generator

News

Four Latham Lawyers Named 2020 Rising Stars Latham Advises Lenders on US$8.3 Billion Refinancing of Ichthys LNG ProjectThree New York Partners Named Notable Women in Law by Crain’s

Thought Leadership

European Commission Proposes Changes to MiFID II Due to COVID-19Regulators Gear Up for LIBOR Transition TestingFCA Issues New Safeguarding Guidance for Payment and E-Money Firms Amid COVID-19

Webcasts & Podcasts

Stablecoins - Macro ViewsRegulatory Web of Commodity, Securities and Privacy Laws Related to StablecoinsSo, You Want to Launch a Stablecoin?