Background - Practices (Details)



We work closely with a wide variety of participants in the financial markets. Our representations have spanned a wide variety of both transactional and regulatory matters with clients ranging from exchanges to clearinghouses, to swap dealers, to bulge bracket investment banks, to large and small buy-side participants. The breadth of our experience helps our clients: (i) understand what is possible in negotiations; (ii) understand what constraints (regulatory or otherwise) counterparties may face and how those constraints may lead them to react to proposals; and (iii) develop and implement an effective and efficient negotiation strategy that will lead to rapid completions.

We possess extensive knowledge on:

  • Commercial bank operating environments and risk management (including enterprise risk management), AML, and privacy compliance requirements,
  • Commercial bank requirements applicable to contracting with counterparties,
  • Commercial lending practices and current market trends for commercial loan structures,
  • Advising banks in connection with permitted banking activities under various bank regulatory regimes.

Our knowledge of technology and its role in the securities markets is a distinguishing feature. We counsel clients on issues involving electronic communication networks (ECNs), electronic trading platforms and portals, and alternative trading systems (ATS). We provide counsel with respect to systems and technology issues, including risk management, cyberfraud security, electronic records management, and production. We also represent U.S. and non-U.S.-based clients in all aspects of regulatory, compliance, and market structure matters, counseling, enforcement defense, arbitration and litigation, and corporate and commercial transactions in the securities markets.