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Financial Services Regulation: Banking (Compliance)

Chambers Review

Provided by Chambers

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

5
Band 5

What the Team is Known For

Latham & Watkins LLP is a compact team with particular strength in the banking and broker-dealer spaces, advising on a range of high profile regulatory matters, including those pertaining to financial technology such as data capture technologies. Fully equipped to advise on current and emerging requirements implemented by the SEC, CFTC, FINRA and NYSE, among others. An expanding team includes a number of alumni of the major regulatory bodies, enabling it to provide clients with crucial strategic insight. Clients include most of the world's major global banks, as well as international broker-dealers, private fund complexes and FinTech companies.

Work Highlights

  • Latham & Watkins advised The Raine Group, a global boutique investment bank, with ongoing regulatory advice on a range of broker-dealer issues.

Strengths

Provided by Chambers

Latham has an extremely high degree of substantive industry expertise on complex matters.

Financial Services Regulation: Banking (Compliance) respondent
USA

I appreciate Latham's vast resources and their attention to detail in fully understanding our business.

Financial Services Regulation: Banking (Compliance) respondent
USA

The firm has thorough knowledge of regulations and gives practical applications tailored to our specific services and needs.

Financial Services Regulation: Banking (Compliance) respondent
USA

Notable Practitioners

Provided by Chambers

Stephen Wink
1
Stephen Wink
1
Band 1
Stephen Wink impresses with his high-level work in broker-dealer regulatory matters, frequently advising brokerages, trading platforms and exchanges.

Stephen is always knowledgeable and informative.

Stephen provides actionable advice in an area which is particularly dense and often muddled.

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Arthur S Long
4
Arthur S Long
4
Band 4
Arthur Long is recognized for his broad capabilities in the financial services sector. He demonstrates an expert command of the regulatory directives imposed on banks by state and federal law, including Dodd-Frank and Volcker Rule compliance.

Arthur commands enormous respect at the highest levels of the regulatory apparatus.

He explains things in a way where you don't have to be a technical expert to understand.

He is my go-to person when I need an answer; he has an encyclopedic mind.

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Marc Berger
4
Marc Berger
4
Band 4

Marc Berger is highly regarded for his expertise in SEC matters.

His judgment and wisdom leads to tremendous results; he sees the big picture very early.

Marc is very respected within the SEC enforcement realm. He is very smart and has a practical perspective.

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U
Naim Culhaci
U
Up and Coming

Naim Culhaci is routinely called upon to provide advice on broker dealer regulatory issues to clients including investment banks and private equity firms.

He provides an excellent balance of deep regulatory expertise and industry awareness.

Naim is knowledgeable and offers practical solutions tailored to our business needs.

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U
Pia Naib
U
Up and Coming

Pia Naib is highlighted for her banking compliance practice which sees her advise domestic and international clients on matters involving the Bank Holding Company Act and the Volcker Rule.

She is great to work with and very responsive.

Pia is a great resource.

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Ranked Lawyers at
Latham & Watkins LLP

Provided by Chambers
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Band

USA - Nationwide

Financial Services Regulation: Banking (Compliance)
Arthur S Long
4
Arthur S Long
4
Band 4
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U
Pia Naib
U
Up and Coming
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Financial Services Regulation: Banking (Enforcement & Investigations)
Marc Berger
4
Marc Berger
4
Band 4
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Financial Services Regulation: Broker Dealer (Compliance)
Stephen Wink
1
Stephen Wink
1
Band 1
View Profile
U
Naim Culhaci
U
Up and Coming
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