Financial service companies increasingly face novel and complex regulatory issues, difficult compliance challenges, and high-stakes enforcement matters. Their continued growth and success depends on anticipating, preparing for, and navigating a rapidly transforming environment.

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Overview

Financial service companies increasingly face novel and complex regulatory issues, difficult compliance challenges, and high-stakes enforcement matters. Their continued growth and success depends on anticipating, preparing for, and navigating a rapidly transforming environment.

Our Financial Services Corporate, Regulatory, Compliance & Transactions practice brings together lawyers with decades of combined experience in the financial services industry—including lawyers who served in senior leadership positions at banking and securities regulators and in-house with prominent financial institutions. The team provides end-to-end representation for financial institutions in the full range of transactional, regulatory, governance, and compliance and enforcement matters they face.

Our team’s experience representing financial services clients includes the following:

  • Business combinations and finance, including mergers, acquisitions, and divestitures; private financings; public securities offerings; and other capital markets transactions, as well as the accompanying regulatory application and approval processes before federal and state authorities.
  • Charter and licensing applications before federal and state banking and securities agencies.
  • Regulatory compliance issues arising from the full complement of federal and state laws and regulations governing clients’ activities, investments, transactions, Bank Secrecy Act (BSA)/anti-money laundering and economic sanctions issues, consumer finance, and data privacy/security.
  • Adversarial proceedings before federal and state bank and securities regulatory agencies and the U.S. Treasury Department, including in contentious examinations, regulatory enforcement proceedings, and civil and criminal investigations related to banking, securities, consumer finance, and consumer protection laws.
  • Corporate governance matters, including the roles and responsibilities of the board and board committees, board and management fiduciary duties, director and executive liability and indemnification agreements, and the implementation of risk management and compliance programs.
  • Commercial lending and bank finance transactions, including secured and unsecured loans, revolving credit facilities, asset-based loans, loan syndications and participations, mezzanine loans, securitization transactions, commercial real estate financing, and commercial mortgage-backed securities.

Our clients include U.S. and foreign bank holding companies, commercial banks, non-bank lenders, mortgage finance companies, electronic commerce and mobile payments providers, broker-dealers, investment advisers, asset managers, insurance companies, private equity and hedge funds, institutional real estate companies, and family offices.

Our Financial Services Corporate, Regulatory, Compliance & Transactions practice brings together lawyers with decades of combined experience in the financial services industry—including lawyers who served in senior leadership positions at banking and securities regulators and in-house with prominent financial institutions. The team provides end-to-end representation for financial institutions in the full range of transactional, regulatory, governance, and compliance and enforcement matters they face.

Our team’s experience representing financial services clients includes the following:

  • Business combinations and finance, including mergers, acquisitions, and divestitures; private financings; public securities offerings; and other capital markets transactions, as well as the accompanying regulatory application and approval processes before federal and state authorities.
  • Charter and licensing applications before federal and state banking and securities agencies.
  • Regulatory compliance issues arising from the full complement of federal and state laws and regulations governing clients’ activities, investments, transactions, Bank Secrecy Act (BSA)/anti-money laundering and economic sanctions issues, consumer finance, and data privacy/security.
  • Adversarial proceedings before federal and state bank and securities regulatory agencies and the U.S. Treasury Department, including in contentious examinations, regulatory enforcement proceedings, and civil and criminal investigations related to banking, securities, consumer finance, and consumer protection laws.
  • Corporate governance matters, including the roles and responsibilities of the board and board committees, board and management fiduciary duties, director and executive liability and indemnification agreements, and the implementation of risk management and compliance programs.
  • Commercial lending and bank finance transactions, including secured and unsecured loans, revolving credit facilities, asset-based loans, loan syndications and participations, mezzanine loans, securitization transactions, commercial real estate financing, and commercial mortgage-backed securities.

Our clients include U.S. and foreign bank holding companies, commercial banks, non-bank lenders, mortgage finance companies, electronic commerce and mobile payments providers, broker-dealers, investment advisers, asset managers, insurance companies, private equity and hedge funds, institutional real estate companies, and family offices.

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