Financial Regulatory

"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

"Fully equipped to advise on current and emerging requirements implemented by the SEC, CFTC, FINRA and NYSE, among others."
Chambers USA 2023

"An expanding team includes a number of alumni of the major regulatory bodies, enabling it to provide clients with crucial strategic insight."
Chambers USA 2023

Band 1 – Banking & Finance
Global Multi-Jurisdictional, US, France & Germany
Chambers Global 2023

"Stellar banking and finance group which benefits from an extensive global footprint, offering clients a high-quality network of teams across key jurisdictions."
Chambers Global 2023

"Boasts extensive coverage of the continent with standout offerings across all major European financial centers."
Chambers Europe 2022

"Awesome across the board and uniformly impressive. They are very well organized, nothing gets overlooked, you always get good advice and they are efficient and quick to respond."
Chambers Europe 2022

Overview

We provide banks, private banks, broker-dealers, insurers, investment companies, asset managers, payments exchanges, trading utilities, and other fintech and financial services firms comprehensive counseling on current and emerging regulations. We advise on matters related to banking, securities, derivatives, futures, commodities, stock exchanges, and other financial products and transactions. We integrate seamlessly with deal teams to advise on the legal and regulatory risk management aspects of major transactions. And we team with Latham’s top-ranked litigators to resolve thorny regulatory investigations and enforcement matters.

With on-the-ground capabilities in the world’s major financial centers in the US, UK, Europe, the Middle East, and Asia, we regularly advise on complex and first-impression situations that the financial services industry faces. We counsel clients on the expansion and introduction of novel financial products into local markets around the world. We also advise 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.

Latham’s financial regulatory group comprises a number of former financial regulators, including officials from the US Securities and Exchange Commission (SEC), US Commodity Futures Trading Commission (CFTC), and US Department of Justice (DOJ). We leverage strong working relationships with the world’s major regulatory bodies to effectively advise clients active across all segments of the financial markets and operating under the full spectrum of domestic and global regulations.

The group advises clients on a full range of matters involving the rules and regulations of regulatory authorities, including: