Financial Services Regulation and Enforcement

Our lawyers represent financial institutions in connection with inquiries, investigations and enforcement actions by federal and state regulators including the SEC, DOJ, CFTC, FINRA, FRB, OCC, FDIC, CFPB, OFAC, NYDFS and others.

These matters span a variety of geographies and subject matters, including market abuse, insider dealer restrictions, structured products, short-selling regulations, cybersecurity and data privacy, and FCPA and AML matters. We also provide critical crisis management and/or incident prevention and response services to assist with proactively protecting our clients’ businesses in the face of myriad issues.

We also counsel our financial services clients on significant regulatory matters, including authorization, registration and licenses to perform regulated activities. Our cross-disciplinary teams handle a wide variety of due diligence and risk-mitigation matters, including CFIUS, sanctions, anti-bribery and corruption, national security and AML advice.

We are experienced and highly skilled at helping clients manage matters that involve simultaneous engagements with multiple regulators, or regulatory engagements that overlap with private litigation.