The attorneys in our Financial Institutions Regulations group are masters of the constantly changing regulatory environment and use our experience to provide our clients with essential, time-sensitive counsel. We tailor our integrated knowledge whether we are interpreting the intricate details of banking or securities laws or regulations, giving real-world “Street practice” advice, or strategizing on a complex regulatory investigation.
Our team comprises of expert and experienced lawyers who bring immense regulatory and compliance knowledge. Investment funds and domestic banking institutions seek our guidance when securing approvals for strategic acquisitions. We often advise on the myriad of regulations and trading practices applicable to banks, broker-dealers, and other financial service firms on a daily basis and on the structuring of complex and novel financing products like cross-border tax-driven trades, complex derivatives and even tax-advantaged project finance transactions. Additionally, we represent a vast range of clients with enforcement investigations and proceedings brought by the Securities and Exchange Commission, FINRA, banking agencies, and other state and federal regulators. We assist our bank, broker-dealer, and investment adviser clients in designing, maintaining, and enforcing compliance and supervisory programs.
We frequently, and successfully, represent our clients before a variety of government agencies including the Federal Reserve, the Comptroller of the Currency, SEC, CFTC, NY DFS and the Federal Deposit Insurance Corporation. Our work results in formal and informal approvals, staff opinions and no-action letters—including several that have expanded the law.