Financial Services Regulation: Broker Dealer (Compliance & Enforcement)

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.