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

  • Latham Named Finance Team of the Year at the 2021 Legal Business Awards - October 03, 2021
  • Yvette Valdez Named 2021 Woman Worth Watching - September 28, 2021
  • New York Partner Christopher Clark Named Crisis Leadership Trailblazer - September 01, 2021
  • Simon Hawkins Named to Asia's Inaugural Top 15 Rising Lawyers List - August 15, 2021
  • 10 Latham Lawyers Named 2021 Rising Stars - May 31, 2021

“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

Latham is “fully equipped to advise on current and emerging requirements implemented by the SEC, CFTC, FINRA and NYSE, among others,” with “an expanding team [that] includes a number of alumni of the major regulatory bodies, enabling it to provide clients with crucial strategic insight.”

 Chambers USA 2020

Media Coverage

Crisis Leadership Trailblazer: Christopher ClarkNFT Craze Generates Slew Of Legal QuestionsBanking Group of the Year: Latham & Watkins

News

Latham Adds Leading Authority on Broker-Dealer Regulation to Capital Markets Practice and Financial Institutions Industry GroupLatham & Watkins Advises Crypto Platform Gemini on US$400 Million Growth Equity RoundLatham Named Finance Team of the Year at the 2021 Legal Business Awards

Thought Leadership

UK FCA Confirms New Rules to Remove Barriers to Listing UK Appointed Representatives Regime Under ReviewIOSCO Consults on Regulation of ESG Data and Ratings Providers

Webcasts & Podcasts

Podcast – Fintech Focus: What’s Next for Hong Kong and Singapore in 2022?The Biden Administration’s Regulatory and Enforcement Priorities: A Six-Month UpdateUnderstanding NFTs & Their Legal Implications