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

  • Five Partners Receive 2019 MVP Honors - November 11, 2019
  • Five Latham Lawyers Named 2019 Rising Stars - September 08, 2019
  • Greg Rodgers Named American Lawyer Dealmaker of the Year - March 27, 2019
  • Seasoned Trial Lawyer Honored for Precedent-setting Victory - February 21, 2019
  • Latham Earns Top FinTech US and Global Rankings From Chambers - December 12, 2018

“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


FinTech Futures: Predicting the Key Market Trends and Legal and Regulatory Developments in 2020 and BeyondWebcast – So, You Want to Launch a Stablecoin?Institutional Asset Management Symposium

Media Coverage

Latham and ConsenSys Partner on Convertible Note GeneratorTop Verdicts 2018 - CFPB v. CashCall Inc.Latham's London FinReg Foray – A Two-Year Progress Report


Five Partners Receive 2019 MVP Honors from Law360Firm Advises Axis Bank in its US$1.77B Qualified Institutional Placement of SharesFive Latham Lawyers Named 2019 Rising Stars

Thought Leadership

Global Legal Insights: Blockchain & Cryptocurrency 2020 – UKSEC Extends Relief From MiFID II Research Unbundling ProvisionsThe Yellow Brick Road for Consumer Tokens: The Path to SEC and CFTC Compliance - An Update

Webcasts & Podcasts

Stablecoins - Macro ViewsSo, You Want to Launch a Stablecoin?A Path Forward for Consumer Tokens?