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 Fintech Partners Receive Innovation Award from New York Law Journal - November 01, 2020
  • Marc Jaffe Named Distinguished Leader by New York Law Journal - October 25, 2020
  • Two Partners Honored as California Trailblazers - October 06, 2020
  • Fifteen Partners Receive 2020 MVP Honors - October 04, 2020
  • Latham Wins Four Notable New York Legal Awards - September 30, 2020

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

Media Coverage

Innovation Award: David Concannon, Yvette Valdez and Stephen WinkRising Star – Fintech: Fiona MacleanCross-Border Latham Team Acknowledged for Collaborating on First-Of-Its-Kind Blockchain Toolkit

News

Latham & Watkins Represents Rothesay on Landmark Court of Appeal VictoryLatham & Watkins Advises Aviva on £875 Million Buy-In with Aviva Staff Pension Scheme Latham Fintech Partners Receive Innovation Award from New York Law Journal

Thought Leadership

FCA Considers Establishing ESG Guiding Principles What Rules Will Apply to Jurisdiction and the Enforcement of Judgments After Brexit? Part ThreeFifteen Asia-Pacific Countries Form a New Trading Bloc

Webcasts & Podcasts

Podcast – Brexit & Financial Services: Preparing for the End of the Transition PeriodGeneral Counsel ForumStablecoins - Macro Views