Find Lawyers in New York, New York for Financial Services Regulation Law
The primary focus of Rodgin Cohen’s practice is acquisition, regulatory, enforcement and securities law matters for U.S. and non-U.S. banking and other financial institutions and their trade associations, and corporate governance matters for a wide variety of organizations. Mr. Cohen and S&C are at the vanguard of critical issues and developments affecting financial institutions, and S&C has long been the firm of choice for leading global financial institutions. For forty years,...
Barbara Mendelson is a partner in the Financial Services Group in the New York office. Her practice involves advising foreign and U.S. banks in a variety of complex regulatory matters, including sales and acquisitions of U.S. banking and nonbanking firms, Dodd-Frank Act issues, applications to federal and state bank regulators for expansion of activities and new products, Bank Secrecy Act and OFAC matters and over-the-counter and exchange-based trading of various instruments and derivatives. ...
Bianca Lewis is an associate in the Health Care group. She represents clients with respect to a variety of corporate transactions, primarily within the health care and life sciences industry. As a former in-house counsel for a large international bank, Bianca has provided general corporate and regulatory advice, assisted in various banking transactions, and acquired experience providing solutions for complex legal issues within the banking and finance industry. What do you focus on? I assist ...
Financial Services Regulation Law Definition
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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