Latham & Watkins advises the businesses and institutions that power the global economy. We bring together the world’s best legal talent in every major jurisdiction to shape the deals and win the disputes that transform markets. Our experience at the cutting edge of commercial, financial, and legal innovation enables us to deliver results that fuel our clients’ success.
Latham’s Financial Regulatory Practice provides banks, private banks, broker-dealers, insurers, investment companies, asset managers, payments exchanges, trading utilities, and other fintech and financial services firms comprehensive counseling on current and emerging regulations. With on-the-ground capabilities in the world’s major financial centers in the US, UK, Europe, the Middle East, and Asia, we regularly play essential roles in complex and first-impression situations that the financial services industry faces.
Arthur S. Long advises clients on all aspects of financial institutions regulation. Mr. Long draws on extensive industry knowledge to help non-US and US financial institutions navigate the regulatory aspects of M&A and capital markets transactions, bank regulatory compliance matters, Dodd-Frank issues, resolution planning, and Volcker Rule issues relating to bank proprietary trading and private equity fund/hedge fund operations.
Axel Schiemann advises German and global clients on a full spectrum of domestic and cross-border regulatory issues and transactions in the financial sector.
Farhana Sharmeen, head of Latham’s Singapore law practice, advises clients globally on complex cross-border transactions with a Singapore nexus. She combines over 20 years of extensive cross-discipline expertise and a sophisticated understanding of Singapore’s regulatory landscape to guide financial institutions and companies on corporate and finance transactions, compliance, and governance matters involving M&A, private equity, emerging companies, fintech and financial regulatory issues, investment funds, and ESG 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 M&A, private equity transactions, and financial regulatory issues. With a particular focus on serving financial industry and fintech companies, he frequently advises clients on corporate restructurings and general corporate law and has significant experience with bank regulatory and restructuring matters.
Nicola Higgs advises clients on financial services regulatory matters and has vast experience counseling financial institutions and market infrastructure providers on a wide range of complex UK and cross-border regulatory issues.
Rob Moulton advises clients on financial services regulatory matters and draws on extensive experience guiding 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, Co-Chair of the Global Digital Assets & Web3 Practice, counsels clients on the UK and cross-border regulatory aspects of cutting-edge fintech initiatives, including technology innovations in legislation, market infrastructure, tokenization, trading, clearing and settlement, lending (including crowdfunding), payments, and regulatory surveillance.
Simon Hawkins leads Latham & Watkins’ financial regulatory practice in Asia and co-chairs the firm’s Digital Assets & Web3 Practice. An experienced and trusted advisor to financial institutions and fintech companies, Mr. Hawkins advises a full range of financial industry and fintech clients — from traditional commercial and investment banks, private equity firms, broker/dealers, and insurers to innovative fintech companies, including payments companies, crypto exchanges and custodians, token issuers, and Metaverse and decentralized finance (DeFi) projects.
Stephen Wink, Global Co-Chair of Latham & Watkins’ Fintech Industry Group and Global Digital Assets & Web3 Practice, 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 leads the Structured Finance and Derivatives Practices and the Fintech Industry Group in Paris. He regularly acts for global financial services firms, investment managers, hedge and investment funds, sovereign funds, and UHNW individuals. Mr. Vogel regularly advises clients on financial regulatory issues (including in the crypto space) and pre-contentious financial disputes in the context of mediation, arbitration, and litigation procedures, as well as on internal derivatives compliance programs and derivatives clearing documentation.
Yvette Valdez, Co-Chair of Latham & Watkins’ Commodities and Derivatives Regulation and Enforcement Practice, head of the US Derivatives Regulatory Practice, and Co-Chair of the Global Digital Assets & Web3 Practice, advises emerging companies, financial institutions, and investment managers on complex regulatory challenges in developing bespoke financial crypto-asset and cryptocurrency technologies. Ms. Valdez’s experience spans token sales, market infrastructure, trading, clearing, and settlement solutions on distributed ledger technology. She also guides clients on US and cross-border cutting-edge fintech initiatives in the derivatives markets.