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Financial Services

Clients of all sizes spanning the financial services industry rely on King & Spalding for sophisticated advice on their critical finance transactions and the complex disputes and regulatory issues that arise in relation to them. Our clients range from the largest global banks to leading regional banks to fintech startups and include a wide range of asset managers, broker dealers, private equity firms, non-bank finance companies, payment processors, and alternative capital providers. These clients turn to our multi-disciplinary team of nearly 500 lawyers worldwide to guide them through secured and unsecured lending, capital markets, specialty finance, securitization and other types of transactions, as well as commercial litigation and arbitration, securities and shareholder suits, multijurisdictional investigations and enforcement actions.

Maximizing Opportunities for Finance and Capital Markets

Bringing together 125+ lawyers around the globe to represent lenders, arrangers, investors, funds, borrowers, issuers, underwriters and sponsors across the full range of complex financings, combining both borrower and lender expertise to provide ambidextrous representation.

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Navigating Critical Regulatory and Enforcement Matters

Helping financial services clients navigate complex, high-stakes engagements with domestic and international regulators, as well as anticipate and respond to diverse and constantly-evolving regulatory requirements and mitigate associated risk.

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Defending Financial Institutions in Complex Litigation

Combining a trial-ready approach, deep understanding of financial institutions and track record of success in high-stakes financial services litigation to maximize value and minimize risk in our clients’ most important disputes.

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Financial Services Focus – March 2024

In the latest installment of our Financial Services Focus newsletter we discuss new rules from the SEC and FINRA, take a look at crucial changes from the AIFMD II and break down other key developments in the financial services industry.

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Navigating AIFMD II - A Regulatory Odyssey

Learn about the main changes introduced by the long- awaited update to the AIFM Directive, AIFMD II, as approved by the European Parliament, including the new regime for loan originating AIFs, and changes applicable to all EU AIFMs.

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ICLG’s 2024 Corporate Investigations Report

Financial Services partners Matthew Biben, Craig Carpenito and Damien Marshall co-authored a chapter in the ICLG’s 2024 Corporate Investigations guide. “Data Analytics: The New Frontier of DOJ Investigations” examines the DOJ’s increased focus on data analytics in evaluating compliance programs.

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FinCEN Proposes Rule to Extend Bank Secrecy Act Obligations to Certain Investment Advisers

FinCEN recently issued a Notice of Public Rulemaking proposing to expand certain anti-money laundering and countering the financing of terrorism requirements under the Bank Secrecy Act to include certain investment advisers. Read more about the details of the proposed rule.

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Lender Liability Quarterly

Our lender liability litigators report quarterly on critical case law developments affecting our bank, private credit lenders, alternative capital and debt funds and private equity clients. Read about the latest decisions and developments in this quarter's newsletter.

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DOJ Announces New Program to Pay Whistleblowers for Information About Corporate Crimes

The DOJ announced a new program which intends to offer new financial incentives for whistleblowers to report allegations about white collar crimes resulting in asset forfeitures. Read more about this and other federal whistleblower programs.

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General Counsel’s Decision Tree for Internal Investigations – Financial Services

This resource provides a guide to help in-house legal teams navigate internal investigations and the unique challenges they present. Having a playbook for conducting an internal investigation that facilitates identification and remediation of issues is an important step in being prepared.

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SEC Adopts Rules Requiring Certain Trading Entities to Register as Broker-Dealers

King & Spalding Financial Services lawyers explain the SEC’s recently adopted rules requiring certain trading entities, including certain investment advisers and private funds, to register as broker-dealers. Read more for a full summary of the newly adopted rules and a look at their impact.

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SEC Approves FINRA Supervisory Control Rules Expanding Remote Work Options for Broker-Dealers

King & Spalding Financial Services lawyers explain FINRA’s recently modified supervisory control rules, which will now broaden remote work options for broker-dealers. Read more for a summary of the expansion and how it affects broker-dealers.

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ICBC Settles AML/BSA and CSI Matters with DFS and the FRB: Three Take-Aways

The Industrial and Commercial Bank of China’s recent settlements demonstrate the reach of federal and New York banking regulators and the importance of compliance efforts. Read more on our key take-aways from the settlements.

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Cryptocurrency: Recent Legal Developments and Outlook

King & Spalding’s 2023 legal guide provides an overview of recent legal developments in the crypto and blockchain space, including legislative proposals, key enforcement actions from state and federal agencies, and our outlook for future development.

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Financial Services – ESG

K&S brings a multi-disciplinary perspective into ESG, integrating financial services, regulatory, government advocacy, litigation, cross-border and human capital expertise and collaboration with our clients to develop holistic new-horizon solutions.

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Maximizing Value in Complex Restructuring Matters

Helping institutional lenders, alternative asset managers and other secured creditors navigate complex and high-profile restructuring matters through creditors’ rights, lender liability, and other bankruptcy and insolvency-related litigation.

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Defending High-Stakes Consumer Financial Services Matters

Providing strategic advice and an extensive tactical toolkit to help financial services clients comply with consumer financial law, mitigate impacts of regulatory and enforcement engagements and, when needed, mount a robust and compelling defense.

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Delivering World-Class BSA/AML Advice to Clients

Advising clients on their BSA/AML regulatory and compliance needs, including defending financial institutions in high-profile regulatory enforcement investigations of AML practices.

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Delivering Integrated Strategies for an Evolving Fintech Industry

Coordinating seamlessly across jurisdictions to provide practical solutions for fintech clients pursuing strategic transactions, navigating regulatory challenges and defending litigation.

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Related Lawyers

Dixie L. Johnson Washington, D.C.
Leigh Nathanson New York
Amy Peters Chicago
David Lesser New York
Craig Carpenito New York

Ranked among the leading firms for Banking & Finance Nationwide, and in Georgia, Illinois, New York, North Carolina


Chambers USA 2022

Ranked among the leading firms for Securities Litigation and Securities Regulation Nationwide


Chambers USA 2022

Band 1 Nationwide –Securitization: Whole Business; Band 2 Nationwide – Securitization: ABS


Chambers USA 2022

Ranked among the leading firms for Bankruptcy/Restructuring Nationwide and in Georgia, New York


Chambers USA 2022

Ranked among the leading firms for Commercial Litigation in New York, California, D.C., Georgia, and Texas


Chambers USA 2022

Band 1 Nationwide – Government Relations: Congressional Investigations


Chambers USA 2022

Ranked among the leading firms for White-Collar Crime/Government Investigations Nationwide, and in California, D.C., Georgia, Illinois and New York


Chambers USA 2022

“Practice Group of the Year” for Structured Finance


Law360, 2020

Ranked among the top firms in the U.S. for International & Cross-Border Disputes


Chambers Global 2022

Ranked among the top firms Global-Wide for Islamic Finance


Chambers Global 2022

Ranked among the top firms in Singapore for Banking & Finance and Restructuring & Insolvency


Chambers Asia-Pacific 2022

Ranked among the top firms in Saudi Arabia and UAE for Banking & Finance


Chambers Global 2022

Band 1 – Middle East-Wide Investment Funds


Chambers Global 2022

Ranked among the top firms in Germany for Investment Funds


Chambers Europe 2022

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Recognition

Ranked among the leading firms for Banking & Finance Nationwide, and in Georgia, Illinois, New York, North Carolina


Chambers USA 2022

Ranked among the leading firms for Securities Litigation and Securities Regulation Nationwide


Chambers USA 2022

Band 1 Nationwide –Securitization: Whole Business; Band 2 Nationwide – Securitization: ABS


Chambers USA 2022

Ranked among the leading firms for Bankruptcy/Restructuring Nationwide and in Georgia, New York


Chambers USA 2022

Ranked among the leading firms for Commercial Litigation in New York, California, D.C., Georgia, and Texas


Chambers USA 2022

Band 1 Nationwide – Government Relations: Congressional Investigations


Chambers USA 2022

Ranked among the leading firms for White-Collar Crime/Government Investigations Nationwide, and in California, D.C., Georgia, Illinois and New York


Chambers USA 2022

“Practice Group of the Year” for Structured Finance


Law360, 2020

Ranked among the top firms in the U.S. for International & Cross-Border Disputes


Chambers Global 2022

Ranked among the top firms Global-Wide for Islamic Finance


Chambers Global 2022

Ranked among the top firms in Singapore for Banking & Finance and Restructuring & Insolvency


Chambers Asia-Pacific 2022

Ranked among the top firms in Saudi Arabia and UAE for Banking & Finance


Chambers Global 2022

Band 1 – Middle East-Wide Investment Funds


Chambers Global 2022

Ranked among the top firms in Germany for Investment Funds


Chambers Europe 2022