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 Ranked Among Top Lawyers in North America Across Disciplines - March 17, 2021
  • Latham Earns Top Fintech Rankings Globally - February 10, 2021
  • Three Partners Named Top Women in Dealmaking - January 26, 2021
  • Two New York Partners Named Notable Women in Law by Crain’s - January 06, 2021
  • Latham Named Banking Group of the Year - January 04, 2021

Latham “impresses with its 'breadth and depth of knowledge', and is able to tap into significant international financial services regulatory expertise as a result of having lawyers based in key financial centres.”

– The Legal 500 US 2019

Events

Webcast – A Look Ahead at the Biden Administration’s Regulatory and Enforcement Priorities

Media Coverage

NFT Craze Generates Slew Of Legal QuestionsTwo New York Partners Named Notable Women in Law by Crain’sBanking Associate Named a Rising Star by the Fund Finance Association

News

Latham and AFME Develop New Report to Help Financial Institutions Navigate the EU’s ESG Reporting LandscapeLatham Advises Financial Advisers in Coinbase Direct ListingLatham & Watkins Advises on Sanne Group plc’s £79.5 Million Share Placing

Thought Leadership

The Legal 500's Lending & Secured Finance Guide: United StatesThe Continued Prevalence of European Covenant Lite - 2021Private Bank Briefing: Issues Impacting the Private Bank Sector

Webcasts & Podcasts

A Look Ahead at the Biden Administration’s Regulatory and Enforcement PrioritiesPodcast – How Did Singapore Solidify Its Position as a Leading Fintech Hub in 2020?Podcast – Payments During the Pandemic – What Key Legal and Regulatory Themes Emerged During 2020?