Financial Services Regulation: Broker Dealer (Compliance & Enforcement)
USA Guide 2024 : USA - Nationwide
Band 3
Contact number
213 485 1234Chambers Review
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 LLP advised StartEngine Capital on a variety of matters, including registering an alternative trading system for secondary market trading in private securities.
Strengths
Provided by Chambers
"Latham has vast resources and is able to handle complex and sophisticated matters."
"The team is not only knowledgeable, but it provides practical business advice."
"Latham has deep knowledge of complex issues and has additional subject experts to assist when needed."
"Latham has vast resources and is able to handle complex and sophisticated matters."
"The team is not only knowledgeable, but it provides practical business advice."
"Latham has deep knowledge of complex issues and has additional subject experts to assist when needed."
Notable Practitioners
Stephen Wink impresses with his high-level work in broker-dealer regulatory matters, frequently advising brokerages, trading platforms and exchanges.
"Steve is thoughtful in his approach and commercial in his understanding."
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 responsive and applies his high level of technical knowledge in a commercially practicable way."
"Arthur's ability to take a thorny issue and provide a succinct answer that can be implemented is fantastic."
"Arthur is very experienced, very knowledgeable and very bright."