Banking & Financial Services

Financial Regulation

Financial regulation

Our financial regulation team is regularly tasked by clients to help them with a wide variety of financial regulatory matters, including issues pertaining to broker-dealers, futures commission merchants, swap dealers and security-based swap dealers.  Working with a wide range of financial market participants, we advise on the Securities Exchange Act of 1934, the Commodity Exchange Act, and the rules and regulation of FINRA and National Futures Association. We also regularly advise new market entrants on bank regulatory issues related to FinTech companies, virtual banks, banking applications, and issues under the Bank Holding Company Act of 1956 (including the Volcker Rule) and other federal and state bank regulations.

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