Find Lawyers in Dallas, Texas for Financial Services Regulation Law
Sanford Brown, a partner in the Financial Services & Products Group, counsels and represents financial institutions and specialty finance companies, as well as their shareholders and holding companies, in matters involving state and federal banking laws, regulations and enforcement actions; in corporate transactions, such as mergers, acquisitions, securities offerings, holding company formations and Subchapter S corporation elections; and in matters involving privacy and identity theft. M...
Patrick Hanchey counsels and represents banks and other financial institution clients in matters involving state and federal banking laws, regulations, enforcement actions, and other corporate activities, such as mergers, acquisitions, capital markets transactions, and holding company formations. Patrick regularly counsels clients on compliance with complex banking laws and regulations before entering into transactions or business activities, and he also has extensive experience in representi...
John Podvin Jr. is a partner in the firm with more than 25 years of regulatory agency, law firm, and corporate experience. He is based in Dallas, Texas, where he works nationally with the firm’s clients. His practice areas include banking and financial services, litigation, corporate governance, finance, financial crisis advisory and litigation, financial regulatory, government relations strategy, and mergers and acquisitions. As outside counsel, Mr. Podvin works closely with the firm&r...
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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