Financial Services Regulation: Broker Dealer (Compliance & Enforcement)

About

Provided by WilmerHale

The financial services industry is in flux, facing accelerated rates of change in technology, product innovation and market structure. WilmerHale lawyers are leaders in effectively addressing the full spectrum of issues affecting financial services industry participants, from international banks, FinTech startups and specialty consumer financial product firms to broker-dealers, investment advisors, and firms accessing global equity and debt markets. Our lawyers bring to bear decades of experience as advocates and regulators and in industry when navigating the complex questions that financial industry participants face. We serve clients by shaping the regulatory environment; counseling regarding rules and regulations; structuring financial industry transactions and products; protecting intellectual property, cybersecurity and privacy; and advocating for firms and individuals in enforcement actions and litigation.

To learn more about our Financial Services practice, please visit: https://www.wilmerhale.com/en/solutions/financial-services