Kaye Scholer’s Financial Regulatory Practice has extensive experience working through the profusion of new, and often conflicting, regulations shaping today’s financial services sector to help clients better understand the rules and minimize the negative effects on their business. Team members in our New York, London and Frankfurt offices all well versed in all applicable laws of the US (both state and federal), the UK, Germany, Canada and the European Union, as well as the views of the Basel Committee on Banking Supervision and the Financial Stability Board.
In the Market
- ETF.com Featured Moriarty in “How ‘Women in ETFs’ is Making Inroads” August 5, 2016 • Media Mentions
- Moriarty on the SEC’s Moves to Curb Leveraged ETFs in The Wall Street Journal June 6, 2016 • Media Mentions
- The Wall Street Journal Profiles Moriarty as ETFs’ “Spider Woman” April 19, 2016 • Media Mentions
- Moriarty Talks ETF Regulatory Changes with Asset TV at the NYSE March 10, 2016 • Media Mentions
- Moriarty Quoted in Bloomberg’s “The ETF Files” March 8, 2016 • Media Mentions
- Morriello and Camp Discuss Heightened Regulatory Scrutiny on Marketplace Lending... January 20, 2016 • Media Mentions
- Kathleen Moriarty Discusses ETF Exams with Law360 January 12, 2016 • Media Mentions
- Kathleen Moriarty Talks ETF Evolution with ETF Trends at ETF Bootcamp October 21, 2015 • Media Mentions
- Bloomberg Business Features Moriarty on ETFs & Bitcoin in “Taking Stock” Podcast October 21, 2015 • Media Mentions
Capabilities: How We Do It
- Structuring transactions: We advise on and accommodate the financial industry regulatory requirements for structuring the full range of transactions, including securitizations, swaps, repurchase and reverse-repurchase agreements, private equity funds, investment companies and hedge funds.
- Evaluating regulatory choices: We advise clients on their regulatory choices that may affect their business strategies, including matters relating to capital, leverage, liquidity, the Volcker Rule, affiliate transactions, commodity pool treatment and risk retention and mitigation.
- Developing new products: Our team aids clients in the development of new financial products that are often business critical for maintaining a competitive edge.
- Structuring bank business activities: We assist banks on the full range of their internal structural and financial activities, including the acquisition of non-banking businesses; the opening and closing of branches, agencies and representative offices; and the issuance of commercial paper, other debt securities and certificates of deposit.
- Keeping compliant: We help clients establish, modify, update or improve compliance programs and respond to enforcement actions and other claims of compliance deficiencies. We have deep experience advising various types of corporations regarding their antimoney laundering and sanctions compliance activities.
- Staying informed: In the course of keeping current with, and advising on, all relevant financial regulatory laws, we have developed a familiarity with the views and expectations of the following financial regulators:
- US (such as the Federal Reserve Board, the Office of the Comptroller of the Currency, the Federal Deposit Insurance Corporation, the New York State Department of Financial Services, the Securities and Exchange Commission and the Commodity Futures Trading Commission)
- UK (including the Prudential Regulation Authority and the Financial Conduct Authority)
- Germany (the Bundesanstalt für Finanzdienstleistungsaufsicht and the Bundesbank)
- European Union (the European Banking Authority, the European Securities and Markets Authority and the European Central Bank)
- Canada (the Office of the Superintendent of Financial Institutions).