Our Broker-Dealer Regulation & Compliance practice advises leading financial market participants in multiple jurisdictions on a range of cutting-edge issues related to broker-dealer and securities regulation, compliance, enforcement, and capital markets. We have long-standing relationships with key regulatory bodies around the world, including the U.S. Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority, Inc. (“FINRA”), state securities authorities, the U.K. Financial Conduct Authority, the U.K. Prudential Regulation Authority, and the Hong Kong Securities and Futures Commission. Our global team is closely integrated and provides practical regulatory advice to the financial services sector in innovative and often highly complex matters. We are focused on the business objectives of our clients and devise and implement sophisticated strategies designed to achieve compliance with applicable laws and regulations.


Best Lawyers' Best Law Firms

  • National: Securities/Capital Markets Law
  • National: Securities Regulation

Chambers Greater China Region

  • China: Financial Services (International Firms)

Chambers USA

  • Nationwide: Financial Services Regulation: Broker Dealer (Compliance) (Individuals ranked)

Chambers FinTech

  • USA: FinTech Legal: Corporate, Securities & Financing

“Mayer Brown is prominent in all FinTech verticals. The firm is a go-to for financial institutions on FinTech M&A and investment deals. It also has a highly regarded financial services regulatory practice and regularly advises on market-first payments law matters.” Chambers FinTech

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