Ranked in 1 Practice Areas
U

Up and Coming

Banking & Finance: Mainly Regulatory

North Carolina

2 Years Ranked

About

Provided by Kathryn Wellman

USA

Practice Areas

Antitrust

Bank Regulatory & Fintech

Civil Litigation

Compliance, Controls, & Risk Management

Cross-Border Investigations and Defense

Financial Regulatory Advice & Response

Internal Investigations

Investigations

Litigation, Regulatory & White Collar

Resolution Planning & Stress Testing

Swaps & Derivatives

White Collar & Government Enforcement Defense

Career

Kate Wellman’s practice focuses on representing clients in government investigations and regulatory compliance matters.

Kate manages large-scale regulatory compliance projects for financial institutions, including related to development of state and federal law inventories, LIBOR transition, recovery and resolution planning, and compliance with global shareholding related requirements. She has had leading roles in multiple firm projects involving remediation stemming from consent orders and other regulatory actions and has worked with various constituencies across her clients’ organizations to prepare narrative responses to findings and implement regulatory commitments. Kate further advises institutions on requirements under a variety of state and federal laws and regulations, including the Bank Holding Company Act, Commodity Exchange Act, Dodd-Frank Act, and federal securities laws.

Kate’s investigations practice includes representation of financial institutions in inquiries involving the U.S. Department of Justice, the Commodity Futures Trading Commission, the Securities and Exchange Commission, the Office of the Comptroller of the Currency, the Federal Reserve, the U.K. Financial Conduct Authority, and financial regulators in other foreign countries. Kate has conducted internal investigations across a range of industries and managed and coordinated reviews relating to systems and controls issues, including analysis of cross-border accounts for anti-money laundering and tax compliance issues.

Kate also has experience assisting clients in a range of commercial disputes in federal and state courts, including matters involving breach of contract, business torts, breach of fiduciary duty, and federal securities laws. Kate maintains a pro bono practice that has involved representation of clients in state court housing matters and federal court trials in Section 1983 civil rights matters and drafting of state complaints related to special education issues.

Prior to joining the firm, Kate was a litigation associate in the New York office of Cleary Gottlieb Steen & Hamilton LLP.

Kate earned her J.D. from Columbia Law School, where she was recognized for academic achievement all three years and awarded the Robert Noxon Toppan Prize for submitting the top constitutional law examination.

Chambers Review

Provided by Chambers

Chambers Guide to the USA

Banking & Finance: Mainly Regulatory - North Carolina

U
Up and Coming
Individual Editorial

Kathryn Wellman maintains a strong practice in banking, regularly counselling on regulatory projects, structuring matters and internal reviews for financial institutions.

Contributions

Latest contributions provided by Kathryn Wellman

Global Practice Guide
Kathryn (Kate) G. Wellman
Edward P. O’Keefe
John A. Stoker
Neil T. Bloomfield
Authored by
Kathryn (Kate) G. Wellman, Edward P. O’Keefe, John A. Stoker, Neil T. Bloomfield
Article • Nov 2024

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