Latham & Watkins LLP advises financial institutions on a broad range of banking and broker-dealer regulatory matters, including compliance, transactions, enforcement, and litigation. The firm is recognised for its expertise in navigating complex regulatory frameworks and engaging with agencies such as the SEC, FINRA, and the Federal Reserve. The banking regulatory team has been active in analysing and commenting on the Basel III Endgame proposal, providing insights into its potential impact on the industry. On the broker-dealer side, the firm advises on compliance, registration, cross-border issues, M&A involving regulated entities, and enforcement matters. The practice also addresses emerging fintech regulations and developments in electronic trading platforms. The firm’s global reach and multidisciplinary approach enable it to assist clients with regulatory challenges across multiple jurisdictions. The banking practice is led by Arthur Long and Courtenay Myers Lima in New York, while the broker-dealer practice is headed by Stephen Wink in New York and John J. Sikora Jr. in Chicago. Located in New York, Pia Naib advises banks and other financial services clients on crypto regulations in addition to issues tied to Dodd-Frank, the Volcker Rule and the Consumer Protection Act.
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Accolades
Client satisfaction
Testimonials
Collated independently by Legal 500 research team.
‘Great breathe of service and knowledge. ’
‘Arthur Long is a great go to partner for all our regulatory questions and filings. ’
‘This practice group is the best I've seen. They are knowledgeable, practical and essential during incidents. ’
‘Tony Kim is a powerhouse. His extensive experience and knowledge really make him one the best US lawyers for data privacy and protecton. Clayton Northouse is also extremely good. They are always ready to help under the most difficult circumstances.’
‘There is no other law firm with the deep legal and technical (i.e., software engineering, AI) expertise that Latham & Watkins has. There are THE go-to firm for a market understanding, best practices, system building, error fixing, and litigation and regulatory defense. Michael Rubin and Marissa Boynton in particular are outstanding advisors.’
‘Marissa Boynton in particular is a shining star: able to dig deep on the technical aspects of complex systems, advise on best practice approaches, and effectively defend tech decisions.’
Work highlights
Advised AllianceBernstein on the formation of its joint venture between its Sanford C Bernstein broker-dealer business and Société Générale.
Advised Goldman Sachs in its investment in Fnality International Limited and its wholly-owned subsidiaries.
Advised MDP in its acquisition of Wilmington Trust, N.A.’s Collective Investment Trust (“CIT”) business.
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; Steve Wink; John Sikora
Other key lawyers
Tony Kim; Michael Rubin; Marissa Boynton; Pia Naib