Displaying a range of involvement in Bank Holding Company Act issues, including those stemming from licensing, Latham & Watkins provides investment advice and compliance advice to a range of banks, broker dealers, investment funds and asset management. This lends itself to representing clients before regulatory bodies such as the SEC, FINRA, and the Federal Reserve. Arthur Long and Courtenay Myers Lima head up the team in New York, the former of whom is well versed in the Dodd-Frank act. Additional strengths lie in transactions, including joint ventures. Long is a key point of contact for fintech companies, belying a wider strength of the group in emerging fintech regulations and developments in electronic trading platforms. Lima has a strong background in SEC-registered, exchange-listed and exempt securities. Within the broker-dealer arena, Stephen Wink in New York and John Sikora in Chicago are key names to note. Pia Naib in New York is a key point of access for banks, broker dealers, investment funds and asset management firms alike.
Legal 500 Editorial commentary
Accolades
Client satisfaction: Sector knowledge
Client satisfaction: NPS ®
Key clients
- Alliance Bernstein
- UBS AG
- Coöperatieve Rabobank U.A.
- National Bank of Canada
- Bread Financial Holdings, Inc
- Stifel Nicolaus
- Spectrum Equity Investors
- The Raine Group
- Lincoln International
- Winterflood Securities
- Oaktree Capital
- BondXN
Lawyers
Leading partners
The strongest partners in their field, leading on market-leading deals and endorsed by peers and clients alike.
Leading associates
Leading associates with regular involvement in their team's key work, and recognition from peers or clients as being ones to watch.
Practice head
Arthur Long; Courtenay Myers Lima
Other key lawyers
Stephen Wink; John Sikora; Pia Naib