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

  • Seasoned Trial Lawyer Honored for Precedent-setting Victory - February 21, 2019
  • Fiona Maclean Named in The Lawyer’s Hot 100 2019 - January 28, 2019
  • Latham Earns Top FinTech US and Global Rankings From Chambers - December 12, 2018
  • Six Partners Honored as 2018 Rising Stars - July 30, 2018
  • Asia Practice Recognized for Innovation - March 05, 2018

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

– The Legal 500 2015

Events

Private Fund Compliance Forum 2017

Media Coverage

California Trailblazer: Julian KleindorferLatham and ConsenSys Partner on Convertible Note GeneratorTop Verdicts 2018 - CFPB v. CashCall Inc.

News

Latham Represents Underwriters in IPO of The Tel Aviv Stock ExchangeFirm Advises Arranger in US$175 Million Microfinance Securitization Firm Represents Underwriters in DouYu IPO

Thought Leadership

Demystifying Modern Convertible NotesCrypto-Asset Trading Platforms: A Regulatory Trip around the WorldMens Rea for Investment Advisers Act Violations

Webcasts & Podcasts

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