Financial Institutions Regulatory Practice
We regularly represent U.S. and foreign-based financial institutions and financial services clients on a broad range of regulatory and compliance issues, including:
- Regulatory advice (e.g., transactional, acquisitions and dispositions, consortiums, and joint ventures; conflicts of interest; preventing and detecting fraud and corruption; surveillance methods; information barriers, including insider trading, control room, and wall-crossing policies; new member and continuing membership applications; registration of firm and associated persons; communications with the public; employee training; policies and supervisory procedures; new businesses and new products; outsourcing; operating in new jurisdictions; and rule interpretation and best practices)
- Audits (e.g., assisting in or handling regulatory, OSJ, and branch office examinations; conducting independent review or evaluation of compliance programs, internal controls, specific products, desks, or departments, and implementation of policies; and performing compliance reviews and "mock" audits)
- Testing (e.g., CEO certifications/Rule 3130 reviews and assessments; annual reviews; anti-money laundering, corruption, and bribery programs, including Foreign Corrupt Practices Act and U.K. Anti-Bribery Law; and independent consultant certifications)
- Inquiries (e.g., responding to regulatory requests and "street sweeps")
- Litigation and arbitration
- Investigations and enforcement matters (e.g., responding to, negotiating, and resolving regulatory investigations and enforcement actions)