Our financial services regulatory team provides comprehensive support to clients on regulatory matters, drawing on experience interacting with key regulators across jurisdictions. The team includes lawyers with backgrounds at financial services regulators and active roles in influential industry groups, which helps us give practical guidance on evolving regulatory requirements.
We regularly advise on the impact and implementation of major regulatory frameworks, including the Dodd-Frank Act, the Gramm-Leach-Bliley Act, the Bank Holding Company Act (BHCA), Basel III, the Bank Secrecy Act, MiFID II, EMIR, MAR, CRR, AIFMD, and PSD2, as well as conduct requirements, the Senior Managers and Certification Regime, and the regulation of fintech and crowdfunding businesses.
We represent U.S. financial institutions and foreign institutions operating in the United States in all facets of their relationships with federal and state regulators. Our lawyers have deep experience with all aspects of financial services regulation, including capital and liquidity standards, structuring domestic and foreign investments and activities to comply with the BHCA, transactions between banks and affiliates, anti-money laundering compliance, and the securities and insurance activities of banks.
Our lawyers counsel clients on safety and soundness matters, consumer compliance regulation, and state licensing issues. We also help clients prepare for examinations and address and resolve any findings that follow.
Clients also turn to us for representation before the Board of Governors of the Federal Reserve System, the Office of the Comptroller of the Currency, the Federal Deposit Insurance Corporation, the U.S. Securities and Exchange Commission, the Consumer Financial Protection Bureau, and state banking and financial services regulators. We advise financial institutions and non-regulated entities on bank holding company and bank control issues, including investment structuring, permissible activities, and fintech partnerships.
We help clients with gap analyses, policy development, compliance with conduct and systems rules, and the creation of procedures to meet regulatory obligations. Our work includes advising on rule breach notifications, supporting clients through regulatory investigations, and assisting with Skilled Person Reports.
We work to preserve and build the credibility our clients have established with their regulators. With a partner-led approach, we help clients handle complex requirements and manage regulatory risk across their business.
