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
- Evan L. Greebel and Kathleen H. Moriarty Join Kaye Scholer’s Corporate Practice as Partners June 30, 2015 • Firm News
- New York Department of Financial Services Releases Final Bitlicense Virtual Currency Regulations June 3 • Client Alerts
- Newly Adopted LCR Rules Supplement Existing Liquidity Management Rules for Larger Banks and Bank Holding Companies September 22 • Client Alerts
- Investment Management Newsletter Spring 2014 • Newsletter
- EBA Consultation Paper on Significant Risk Transfer and Related German Compliance Changes February 6 • Client Alerts
- Renowned Litigator Terri Mazur Joins Kaye Scholer in New York November 1 • Firm News
- Possible Dodd-Frank Compliance Date Extension for Investment Advisers April 15 • Client Alerts
- The Dodd-Frank Act and the Implementation of Representations / Warranties / Repurchase Provisions and Due Diligence Provisions Affecting Securitization March 10, 2011 • Seminars
- SEC Adopts Final Rules on Shareholder Approval of Executive Compensation and Golden Parachutes January 31 • Client Alerts
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).