Find Lawyers in Chicago, Illinois for Financial Services Regulation Law
Practice Area Overview
Financial regulatory practices vary from firm to firm. Some law firms are limited to providing financial regulatory advice to a particular type of financial institution, such as a bank or insurance company. Others focus on bank mergers and acquisitions. Only a few have a full-scope practice consisting of financial regulatory and legislative advice; mergers and acquisitions when the target is a financial institution; capital markets transactions when the issuer is a financial institution; enforcement and other litigation when the defendant is a financial institution; and insolvency and restructuring when the insolvent party is a financial institution.
Financial regulatory and legislative advice consists of advising financial institutions on regulatory limitations and requirements related to their operations and strategy, including chartering and licensing, capital or liquidity requirements, restrictions on investments or activities, financial reporting, business conduct requirements, investor protection, consumer protection, transactions with affiliates, privacy, trading, hedging, and reporting financial crimes by customers or counterparties. It includes difficult statutory or regulatory interpretation where gaps or ambiguities in the law exist, commenting on proposed legislation or regulation, seeking clarification or regulatory changes, and advocating positions before regulatory agencies.
Mergers and acquisitions transactions consist of structuring and executing the purchase or sale of a financial institution, including obtaining all necessary regulatory approvals.
Capital markets transactions consist of structuring and executing the offer and sale of debt, equity, or hybrid securities, including compliance with any special disclosure requirements for financial institutions.
Enforcement and other litigation involve defending against an enforcement action by financial regulators, white-collar criminal defense, or otherwise defending financial institutions in litigation.
Insolvency and restructuring involves advising a financial institution, its creditors or a potential purchaser when the financial institution is in a troubled or failed condition and a regulatory agency is in charge of its reorganization or liquidation.
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Mr. del Hierro is a partner in the Corporate Practice Group of Kirkland & Ellis and heads our bank regulatory practice. He has more than 30 years of experience in representing banks and bank holding companies, thrifts and thrift holding companies, payments and fintech companies, investment banks and institutional lenders in connection with regulatory issues relating to capital formation transactions, mergers and acquisitions and complex financings. He has significant experience representi...
Rob has more than 25 years of experience advising financial institutions on mergers and acquisitions, public and private securities offerings, recapitalizations, and contract negotiations. Clients have commented that Rob is personable, efficient, strategic, and committed to his clients’ success. Rob is a co-chair of BFKN’s Financial Institutions Group. Rob focuses his practice on serving financial institutions in all their corporate needs, including advising them on their strategi...
John has more than 40 years of experience advising hundreds of financial institutions and their boards on mergers and acquisitions, bank regulatory issues, corporate governance, and securities law matters. John is straight-forward, a good sounding board and strategic thinker, meticulous, and personable. John is the founder and co-chair of BFKN’s Financial Institutions Group and has advised hundreds of financial institutions on strategic, corporate governance and other matters. His exten...
John is a nationally recognized banking attorney who advises financial institutions on regulatory, governance, and investigative matters. He regularly provides focused training sessions to boards and management on a wide range of legal and risk management topics. Working at the forefront of banking law and regulation, John is a thought leader in the field, primarily through teaching, writing, and frequent media interviews. As the Regulatory Section Leader of BFKN’s Financial Institution...
Carrie Stickel concentrates her practice on litigation and enforcement matters relating to the financial services industry and the federal securities laws. Carrie represents individuals and companies in regulatory and enforcement matters and in federal and state court litigation. She has considerable experience with the federal securities laws, regulatory investigations, and internal investigations. Carrie frequently defends enforcement proceedings before the Securities Exchange Commission (S...
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