Financial Services Regulation
Our financial services regulation experts are actively advising clients anticipating and implementing regulatory change in their businesses globally. We assist our clients to reduce their regulatory risk by navigating the complex interrelated regulations in a pragmatic way. We invest time in dialogue with regulators and working with industry bodies, so that we can help our clients stay ahead of developing regulatory requirements and expectations.
From advising on the development and launch of new financial businesses and products, through day to day conduct of business to trouble shooting, internal investigations and defending regulators’ enforcement proceedings, our expert group of lawyers can advise you on all aspects of regulation and enforcement across multiple jurisdictions. We regularly work in integrated cross border teams, closely aligning our financial services regulation experts with our transactional and litigation colleagues where appropriate.
Our client base and expertise covers all financial services sectors: banks, investment advisers, fund managers and fund sponsors, insurance companies and insurance intermediaries, broker-dealers and other market participants. We have particular depth in the funds and asset management sector.
Russell David Sacks
March 3, 2023
High Court Bankruptcy Ruling Is Unintended Gift To The SEC
August 26, 2022
Mid-Year Report: FINRA Enforcement Builds Momentum After Historic Penalties
May 26, 2022
Congress's Crypto Crash Course
January 18, 2023
King & Spalding Adds Global Investigations Partner Olivia Radin in New York
January 18, 2023
Global investigations partner Olivia Radin joins the firm’s Special Matters and Government Investigations team in New York
November 8, 2022
Private funds partner Stephen Sims joins the firm’s Corporate, Finance and Investments practice group in London
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