The financial services industry is one of the most globally integrated, sophisticated and highly regulated industries. Mayer Brown offers the full range of regulatory, enforcement, litigation, transactional and policy capabilities in order to comprehensively address the myriad issues facing the sector around the world. Our lawyers in the Americas, Europe and Asia work with leading global financial institutions to provide thoughtful, creative, and practical solutions to their complex issues.
We help financial institutions structure and expand operations to take advantage of new opportunities, identify and shape emerging legislative and regulatory policies, and develop compliance and internal investigation strategies. We also manage relationships with financial regulators; assess legal, regulatory, enforcement, and reputation risks; and resolve complex legal, financial, operational and strategic issues.
Our experience and industry knowledge, combined with the diverse skills of our lawyers allow us to vigorously represent our clients before regulatory bodies and in formal legal proceedings.
We are also experienced in transactions and activities that present regulatory complexities unique to the financial services industry, including:
- Regulatory and compliance-related requirements of establishing, operating and managing various investment schemes and structures
- Cross-border regulatory compliance and enforcement matters
- Providing strategic advice and assistance in connection with inspections and investigations by regulators
- Internal investigations
- Enforcement proceedings by regulators and linked litigation
- Mergers and acquisitions
- Joint ventures and strategic alliances
- Stock/asset acquisitions or dispositions
- Capital and corporate structure changes
- Anti-money laundering and anti-bribery and corruption
- Economic and trade sanctions
- Investment in, and distribution of, securities, commodities, insurance and derivatives
Lastly, our lawyers continually monitor critical industry developments and regularly lecture on complex regulatory compliance issues, including those related to the Wall Street Reform and Consumer Protection Act of 2010 (“Dodd Frank Act”) in the US, and ongoing regulatory reform legislation in the EU. For example, in each of the past three years we hosted seminars on the key business and compliance issues driving Dodd Frank-related reform. In our most recent program we analyzed:
- The implementation of the Volcker Rule, including practical implications of the Federal Reserve’s recent conformance period guidance
- Developments in derivatives regulation
- Important new prudential requirements, including enhanced capital and other standards applicable to systemically significant institutions
- The Dodd-Frank Act’s impact on securitization
- The role of the Consumer Financial Protection Bureau and its recent activities
- Related extraterritorial, cross-border, and international issues arising in connection with these various requirements