Financial Institutions

Latham & Watkins supports financial institutions, advising them on cutting-edge transactions, sensitive regulatory issues, major legislative changes and litigation matters. The Financial Institutions Group unites regulatory, transactional, enforcement and industry expertise.

Why Latham

Latham's Financial Institutions Group distinguishes itself with its ability to comprehensively address the issues facing financial institutions around the world. Through its globally integrated transactional, regulatory and litigation practices, the firm provides clients with the advice they need to navigate today’s highly regulated markets.

At a time of tremendous change for the financial services industry, Latham has its finger on the pulse of developments with regulators, self-regulatory bodies and other financial industry organizations. The team helps clients successfully adapt to today’s dynamic markets conditions and supports them in the most critical aspects of their business. The firm's lawyers remain at the forefront of the Dodd-Frank Act, Basel III and other regulatory developments impacting financial institution on a global basis.

The Financial Institutions Group is comprised of top-tier practitioners who cover the full range of financial institutions activities, including lawyers formerly with the US Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC), the Department of Justice (DOJ) and various United States Attorneys' Offices. Latham represents financial institutions on a broad range of matters before government regulators in the United States, European Union, the Middle East and Asia, and provides comprehensive global counseling on local regulations relating to banking, securities, derivatives, stock exchange matters and other financial products and transactions.

Global Reach — Industry Knowledge

Many of Latham's partners are recognized as leaders in the field, and have spent their careers acting either as principals or advisors to financial institutions on matters including:

  • Acquisitions, dispositions and joint ventures
  • Bank, broker dealer, investment adviser and market regulation
  • Derivatives, commodities, futures and swaps
  • Litigation, enforcement and compliance
Our Experience

The group's principal practice areas include:

  • Bank regulatory
  • Broker-dealer regulatory
  • Commodities, futures and swaps
  • Derivatives/equity-linked financial products
  • Investment/asset management
  • Litigation
  • Regulatory enforcement

Latham's lawyers are experienced with the full life cycle of specialized financial products, from assessment and new product development to transaction execution, on-going legal risk management (including dealing with defaults), and monitor regulatory developments and response to litigation.

The firm's global presence enables it to provide clients with comprehensive legal advice on sophisticated transactional and advisory assignments in virtually all the financial centers in the world. The group represents investment banks, commercial banks, hedge funds, insurance companies, private equity firms and exchanges on the full range of legal issues affecting their activities and operations. The group's wide range of experience provides clients with a unique, full-service practice that is essential to navigate in today’s demanding and complex environment.

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Awards & Rankings

  • Latham Wins Impact Deal and Innovation of the Year at Capital Relief Trade Awards - October 17, 2019
  • Greg Rodgers Named Finance, Banking & Capital Markets Trailblazer - October 07, 2019
  • Tax Department Chair Honored as Influential Woman in Tax Law - September 10, 2019
  • Five Latham Lawyers Named 2019 Rising Stars - September 08, 2019
  • Seasoned Trial Lawyer Honored for Precedent-setting Victory - February 21, 2019

“Latham & Watkins LLP’s integrated practice provides clients with both standalone regulatory compliance expertise along with regulatory driven transactional competence” 

– The Legal 500 2015


Webcast – So, You Want to Launch a Stablecoin?Private Fund Compliance Forum 2017

Media Coverage

Finance, Banking & Capital Markets Trailblazer: Latham's Greg RodgersNavigating Convertibles: Demystifying Modern Convertible NotesInfluential Women In Tax: Latham's Jiyeon Lee-Lim


Latham Wins Impact Deal and Innovation of the Year AwardsLatham Selected as Member of the Green Bond Principles & Social Bond Principles Advisory CouncilGreg Rodgers Named Finance, Banking & Capital Markets Trailblazer

Thought Leadership

Review of the EU Benchmarks RegulationFSB Concerns Over Cloud Concentration in Financial Services Continues Getting The Deal Through's Equity Derivatives 2019

Webcasts & Podcasts

So, You Want to Launch a Stablecoin?A Path Forward for Consumer Tokens?Derivatives Market Year in Review