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Financial Services Regulation: Banking (Compliance)

About

Provided by Cleary Gottlieb Steen & Hamilton LLP

For more information about Cleary Gottlieb's Banking and Financial Institutions practice, please visit https://www.clearygottlieb.com/practice-landing/banking-and-financial-institutions

Chambers Review

Provided by Chambers

Financial Services Regulation: Banking (Compliance) - USA - Nationwide

1
Band 1

What the Team is Known For

Cleary Gottlieb Steen & Hamilton has an established national financial services practice representing a variety of financial institutions and large industry groups. The firm has huge experience in broker-dealer regulatory matters and frequently advises clients on compliance and enforcement issues. The team also enjoys a respectable reputation defending financial institutions in investigation and enforcement actions brought by a variety of regulatory bodies, including the SEC, CFTC and OCC. It offers additional strength in M&A matters, advising clients on the regulatory aspects of national and international transactions.

Work Highlights

  • Cleary Gottlieb Steen & Hamilton LLP represented the Institute of International Bankers (IIB) on regulatory issues and developments, including cross-border taxation and prudential regulation by the Federal Reserve.

Strengths

Provided by Chambers

They have deep insight into market processes and operations, including with relevant market intermediaries. This helps them give advice that is useful to us.

Financial Services Regulation: Banking (Compliance) respondent
USA

Cleary has a truly sophisticated understanding of the issues and a strong ability to suggest practical solutions.

Financial Services Regulation: Banking (Compliance) respondent
USA

Cleary's level of subject matter expertise and sophistication in complex regulatory matters is best in class.

Financial Services Regulation: Banking (Compliance) respondent
USA

They are fast, reliable and practical in their advice.

Financial Services Regulation: Banking (Compliance) respondent
USA

Notable Practitioners

Provided by Chambers

Derek M Bush
1
Derek M Bush
1
Band 1

Derek Bush is a market-leading expert on issues of bank regulation, and routinely advises clients on Volcker Rule compliance and other directives under the Dodd-Frank Act. He is also skilled at representing financial institutions in major M&A.

Derek is an indispensable resource for outside counsel.

Derek is best in class.

Derek is responsive, pragmatic and gives clear advice.

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Hugh Conroy
1
Hugh Conroy
1
Band 1

Hugh Conroy is sought after by domestic and international financial institutions for the strength of his advice on diverse issues, including compliance with the Dodd-Frank Act.

Hugh has good knowledge of business structures, enabling him to give effective advice.

Hugh is a very good lawyer and provides practical and strategic advice.

Hugh's insights are invaluable.

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James Burns
2
James Burns
2
Band 2
James Burns is noted for his high level experience at the SEC and his ability to advise major clearing houses on regulatory questions.

Jim is savvy about many different regulatory stakeholders and has extensive knowledge about securities and broker-dealer regulations.

Jim is an excellent regulatory lawyer who consistently hits the mark.

Jim is helpful at novel issues.

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Brandon M Hammer
3
Brandon M Hammer
3
Band 3
Brandon Hammer capably acts for financial markets clients in a range of contexts, including cross-border advice and SEC regulations.

Brandon is an excellent lawyer and adviser.

Brandon has a deep breadth of knowledge and experience.

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Brant Brown
3
Brant Brown
3
Band 3

Brant Brown utilizes his previous experience at FINRA to offer large national and international clients insightful advice on FINRA examinations and investigations, with additional expertise on SEC compliance.

Brant is an excellent regulatory lawyer who consistently provides thoughtful guidance regrading complex securities issues.

Brant is a FINRA expert and extremely well-versed in broker-dealer rules, regulations and current practices.

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Jennifer Morton
3
Jennifer Morton
3
Band 3

Jennifer Morton is recognized for her experience counseling registered broker-dealers in a variety of governance and transactional matters.

Jennifer has her finger on the pulse of the market and regulatory landscape.

Jen offers pragmatic advice and solutions based on her experience in the market.

Her ability to manage client relationships is a particularly outstanding quality.

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Lauren Semrad
5
Lauren Semrad
5
Band 5

Lauren Semrad is noted for her work assisting clients with debanking and strategic compliance advice on a national and global scale.

Lauren is highly sophisticated, motivated, reliable and a great partner to work with.

Lauren is diligent, super savvy and provides excellent insights in a broad range of areas in the banking law space.

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Ranked Lawyers at
Cleary Gottlieb Steen & Hamilton LLP

Provided by Chambers
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Band

USA - Nationwide

Financial Services Regulation: Banking (Compliance)
Derek M Bush
1
Derek M Bush
1
Band 1
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Hugh Conroy
1
Hugh Conroy
1
Band 1
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Lauren Semrad
5
Lauren Semrad
5
Band 5
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Financial Services Regulation: Broker Dealer (Compliance)
James Burns
2
James Burns
2
Band 2
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Brandon M Hammer
3
Brandon M Hammer
3
Band 3
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Brant Brown
3
Brant Brown
3
Band 3
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Jennifer Morton
3
Jennifer Morton
3
Band 3
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Financial Services Regulation: Financial Institutions M&A
Derek M Bush
2
Derek M Bush
2
Band 2
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