Welcome to the Latham & Watkins Global Financial Regulatory Blog.
Here, you will find our views and short updates on the most important financial regulatory developments impacting business and innovation across the world.
Latham’s Financial Regulatory Practice provides both financial institutions and regulators with insight and analysis on the complex regulatory regimes facing financial institutions throughout the world. We provide comprehensive counseling on local regulations relating to banking, securities, derivatives, futures, commodities, stock exchange matters, and other financial products and transactions, and advise leading banks and other financial institutions on a wide range of regulatory, risk management, and compliance issues.
We cover the full range of financial institution activities and have advised clients on the full range of matters before regulatory bodies worldwide, including before the:
- Commodity Futures Trading Commission (CFTC)
- European Banking Authority (EBA)
- European Systemic Risk Board (ESRB)
- Federal Reserve System
- Financial Conduct Authority (FCA)
- Financial Industry Regulatory Authority (FINRA)
- Investment Industry Regulatory Organization of Canada (IIROC)
- Israel Securities Authority (ISA)
- Hong Kong Monetary Authority (HKMA)
- Monetary Authority of Singapore (MAS)
- Options Clearing Corporation (OCC)
- Securities Exchange Commission (SEC)
We hope you find the posts useful and invite you to reach out with thoughts or comments or for further assistance to the blog authors.
Axel Schiemann advises German and global clients on a full spectrum of domestic and cross-border regulatory issues and transactions in the financial sector.
David Berman advises extensively on a wide spectrum of issues, including market conduct, culture and conduct, individual accountability, governance, conflicts of interest, inducements, regulatory aspects of transactions, remediation and redress exercises, and conduct of business regulation generally.
Farhana Sharmeen focuses on both corporate (mergers and acquisitions, investment funds, and debt capital markets) and finance (acquisition finance, structured finance, and leveraged finance) transactions. She also advises on general corporate matters, including regulatory compliance and corporate governance issues.
Marlon Paz counsels broker-dealers and other financial services firms in matters related to securities regulation, regulatory enforcement, internal investigations and examinations, and compliance. He also helps clients navigate acquisitions of brokers, dealers, and investment advisers.
Markus Krüger advises a broad spectrum of German and international clients on complex mergers and acquisitions as well as financial regulatory issues. He has a particular focus on serving financial industry and fintech companies.
Nicola Higgs specializes in financial services regulatory advice and has vast experience advising financial institutions and market infrastructure providers on a wide range of complex domestic and cross-border regulatory issues.
Rob Moulton specializes in financial services regulatory advice and draws on extensive experience advising investment banks, governments, corporate finance houses, clearing houses, fund managers, insurers, stockbrokers, and online trading businesses on a variety of legal and regulatory risk management matters.
Stuart Davis advises a wide range of broker-dealers; investment, retail, and private banks; technology companies; market infrastructure providers; investment managers; hedge funds; and private equity funds on complex regulatory challenges.
Simon Hawkins focuses on financial regulation, including licensing matters, prime brokerage arrangements, securities dealing, financial market regulations, intermediary and distribution arrangements, product development and structuring, and fintech.
Stephen Wink advises a wide range of market players including investment banks, hedge funds, private equity firms, exchanges, alternative trading platforms, transfer agents, other financial institutions, and fintechs on matters involving the regulation of broker-dealers and investment advisors, market regulation, and compliance and enforcement matters.
Thomas Vogel has significant experience in cross-border capital markets, structured finance, and derivatives, and regularly acts for global financial services firms, investment managers, hedge funds, sovereign funds, and UHNW individuals.
Yvette D. Valdez
Yvette Valdez advises dealers, intermediaries, and end-users in connection with derivatives (swaps and futures) legal and regulatory matters. She also advises emerging companies, financial institutions, and investment managers on complex regulatory challenges in the development of bespoke financial crypto-asset and cryptocurrency technologies including token sales, market infrastructure, trading, clearing, and settlement solutions on distributed ledger technology.