Financial Services Regulation: Broker Dealer (Compliance & Enforcement)
USA Guide 2024 : USA - Nationwide
Band 4
Email address
[email protected]Contact number
+1 212 909 6000Chambers Review
Debevoise & Plimpton LLP is recognized for having developed a diverse banking and financial institutions practice. Particularly noted for its handling of regulatory compliance and transactional matters at the intersection of the banking and insurance sectors, while also impressing in connection with state and federal government investigations and regulatory enforcement actions. Maintains close ties with other departments, including litigation, private equity and M&A, to deliver a robust and rounded service. Benefits from the experience of alumni of a number of major regulatory bodies, including the SEC, the Federal Reserve Board and the US Treasury.
Work Highlights
- Debevoise & Plimpton LLP advised Fortitude Re in its $28 billion reinsurance transaction with The Lincoln National Life Insurance Company.
Strengths
Provided by Chambers
"The team is very responsive and dedicated to excellent client service. They coordinate very well in the background and anticipate our needs."
"The firm is comfortable with complexity and help us develop the right strategies to execute on complex matters."
"The partners are all top subject matter experts and very responsive. The bench strength is outstanding."
"The team is very responsive and dedicated to excellent client service. They coordinate very well in the background and anticipate our needs."
"The firm is comfortable with complexity and help us develop the right strategies to execute on complex matters."
"The partners are all top subject matter experts and very responsive. The bench strength is outstanding."
Notable Practitioners
Gregory Lyons provides comprehensive transactional and regulatory advice to financial services firms. He routinely helps clients achieve compliance with state and federal banking regulations, including those of the SEC, FDIC and OCC.
"Gregory is tireless and continually searches for solutions."
"He has a good sense of the business imperatives and is an outstanding lawyer."
"He's extremely knowledgeable in the banking space and draws upon his historical knowledge to help solve problems."
Jeffrey Robins is distinguished by the strength of his broker-dealer compliance practice, which sees him acting for a wide range of securities market participants. He is particularly adept at advising on cross-border regulatory matters.
"He has a deep understanding of market practices and conventions."
"He's great to work with and always brings a practical and pragmatic approach."
Nicholas Potter maintains a successful practice, which is focused on major transactions in the insurance sector. He also coheads the firm's financial institutions department.
Satish Kini remains a noted expert on emerging regulatory issues in the banking space. He regularly advises banks and other financial institutions on data privacy, AML and Volcker Rule compliance.
"He is very knowledgeable in this space and very pragmatic."
"He is highly responsive, thoughtful and thorough."
"Satish Kini is a very good writer; he's efficient and he understands the law well."
Up-and-coming attorney Caroline Swett is frequently called to advise banking clients and other financial institutions on a host of compliance matters often surrounding conduct risk and crypto-asset activities.
"From an expertise perspective she's great; she's also got a really practical and pragmatic approach."
"Caroline is phenomenal. She is very responsive and very good technically."
Chen Xu is relied upon for his impressive capabilities in bank regulatory matters and is often touted for his particularly standout expertise in capital requirement issues.
"He's extremely responsive and does really high quality work."
"Chen is super responsive, very technically capable on highly complex analysis and has a lot of market knowledge."
Ranked Lawyers at
Debevoise & Plimpton LLP
USA - Nationwide