/Home/USA/Financial Services Regulation: Broker Dealer (Compliance & Enforcement) in USA - Nationwide/Latham & Watkins LLP
View profile of Latham & Watkins LLP
Department profile
Latham & Watkins LLP
Department profile | Latham & Watkins LLP
Financial Services Regulation: Broker Dealer (Compliance & Enforcement)

Chambers Review

Provided by Chambers

Financial Services Regulation: Broker Dealer (Compliance & Enforcement) - USA - Nationwide

3
Band 3

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 US operations of UBS AG on issues such as ‘control’ under the Bank Holding Company Act and affiliate transactions under the Federal Reserve’s Regulation W.

Strengths

Provided by Chambers

Latham is highly engaged and communicate all material aspects of progress being made in the issues at hand.

Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondent
USA

Their advice is always operationally practicable.

Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondent
USA

They are not only subject matter experts, but also take the time to understand the client and their needs.

Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondent
USA

Notable Practitioners

Provided by Chambers

Stephen Wink
1
Stephen Wink
1
Band 1

Stephen Wink is global co-chair of the firm's fintech industry group. He impresses with his high-level work in broker-dealer regulatory matters, frequently advising brokerages, trading platforms and exchanges.

Steve is willing and capable to sit down with you and think through solutions.

View Profile
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 is an extraordinary subject matter expert and has great judgment.

Arthur is incredibly pragmatic and also willing to stand firm.

Arthur has an outstanding level of knowledge and industry experience.

View Profile
Marc Berger
4
Marc Berger
4
Band 4

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

Marc is a great partner; he is strategic and solutions-oriented.

View Profile
Naim Culhaci
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.

Naim has been great to work with in helping us navigate the regulatory landscape.

View Profile
Pia Naib
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.

Pia is knowledgeable and efficient.

View Profile

Ranked Lawyers at
Latham & Watkins LLP

Provided by Chambers
Filter by
Band

USA - Nationwide

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