Our global multidisciplinary team of lawyers applies an industry-focused approach to advise our clients on regulatory, compliance, and enforcement issues unique to broker-dealers and other financial services intermediaries
We counsel broker-dealers, banks, investment firms, derivatives dealers, fund managers, and other financial services intermediaries on a full range of issues related to compliance, regulation, and enforcement by the U.S. Securities and Exchange Commission (SEC), state securities regulators, the Financial Industry Regulatory Authority (FINRA) and financial services regulatory authorities outside the United States such as the UK’s Financial Conduct Authority and Hong Kong’s Securities and Futures Commission. We have an international team of experts who advise multinational financial institutions on cross-border regulatory issues and transactions.
We leverage the experience and knowledge of a multidisciplinary team of lawyers that includes several former senior officials of the SEC and other market regulators, and apply an industry-focused approach to advise our clients on regulatory compliance and enforcement issues applicable to the financial services industry, such as:
Enforcement and Litigation. While we take every measure to ensure our clients’ compliance with all applicable securities laws, we also understand the unavoidable risks of alleged non-compliance and the resulting actions and investigations. When necessary, we call on the firm's Securities Litigation, Enforcement, and Investigations + White Collar Defense lawyers, many of whom are experienced financial services practitioners, to defend our clients and their directors and officers in enforcement actions, investigations, class actions, derivative actions, and other litigation arising from financial services activities.
Corporate Finance | Capital Markets. Our international footprint and experience representing the financial services arms of some of the world's largest financial institutions position us at the intersection of banking and securities regulation. Working closely with our Corporate Finance | Capital Markets lawyers and our Financial Regulatory lawyers, we help our financial institution clients to develop new financial products and securities offering methodologies, and prepare offering documentation that complies with all applicable securities laws and regulations.Show More