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Financial Services

Our global Financial Services Practice provides high quality legal, regulatory and public policy services to a wide range of participants in the financial services sector, including:

  • Financial institutions, capital sources and other financial intermediaries 
  • Their investors, suppliers and customers  
  • End-users of financial services (e.g., corporate borrowers) 
  • Regulatory authorities

A more detailed list of the types of clients our practice serves can be found under Representative Clients.

Our team includes several former regulators and former executives and internal legal counsel at financial institutions and other financial intermediaries. Team members are trained to listen to and understand client needs, provide practical, solution-oriented advice and deliver value. We consistently win awards and accolades for providing exceptional client service and representation.  

Core client services are described below under Focus Areas.

Our clients also receive fully-integrated, seamless support from professionals in our other practice groups who have extensive experience representing financial services companies (see Related Services).

Capital Markets

We operate one of the most active and sophisticated capital markets practices in the legal industry, particularly on behalf of the financial services sector. Since the start of the financial crisis in 2008, we have helped financial services enterprises raise well over US$50 billion of capital and liquidity through scores of public offerings and private placements of virtually every type of equity, debt and hybrid security. Our lawyers have deep experience with regulatory capital requirements and regularly represent underwriters and issuers including banks, insurance companies, specialty finance companies, REITs, BDCs and other financial enterprises.

Corporate Governance and Securities Regulation

We provide day-to-day support, transactional support, and crisis management service to a wide variety of financial services enterprises on corporate governance, enterprise risk management and related securities and financial regulatory compliance.

Debt Finance

Our Debt Finance team has extensive expertise with all types of debt financings, such as senior secured first and second lien loans, unitranche and mezzanine loans. Our ABL practice is among the most active in the world, and we routinely advise clients on cross-border transactions and on industry-specific financings involving regulatory issues (e.g., aviation, energy, healthcare, insurance). Domestic and international clients include banks, alternative capital sources and insurance companies.

Derivatives

Our financial services lawyers and public policy professionals advise dealers and end-users on transactions involving the full range of derivative products and related regulatory requirements. We also advise clients on the most important regulatory and policy issues facing them today, including the implementation of new CFTC rules related to the negotiation, execution, clearing and reporting of swaps and security-based swaps.

Insurance

Our insurance lawyers are some of the most seasoned and experienced professionals in the industry, representing clients on matters ranging from complex, high stakes disputes, to regulatory compliance and public policy to corporate transactions, such as mergers and acquisitions and capital transactions. Our depth of expertise and practical know-how translates into better results and greater value for our insurance industry clients.

Mergers, Acquisitions and Joint Ventures

We operate a leading global practice in financial services mergers, acquisitions, joint ventures and consortium transactions. We are active in virtually every segment of the financial services sector (e.g., banking, insurance, brokerage, asset management, specialty finance and financial technology). Our financial services M&A lawyers work closely with our regulatory, tax and other specialist colleagues to identify and address risk, optimally structure transactions and obtain required approvals as quickly as possible.

Public Policy and Advocacy

Our financial services lawyers and public policy professionals combine strong public policy experience with exceptional technical proficiency to advise clients in the financial services sector on the most important regulatory and policy issues facing them today. Our team works closely with commercial and investment banks, insurance companies, broker-dealers, trading platforms, trade repositories, critical financial market infrastructure and other participants in capital markets.

Project Finance

Our global Project Finance team is expert in advising project sponsors, governments, banks, investors, contractors, funds and export credit agencies in bringing projects to financial close in a manner that employs best practices globally to minimize legal risks and avoid unintended consequences. We are experienced in all types of financing for infrastructure projects and our integrated global response team is active around the world.

Regulatory and Enforcement

We have developed a leading regulatory advisory and advocacy practice that helps clients with regulatory compliance, in gaining approvals for transactions, in conducting domestic and international investigations and defending against regulatory enforcement proceedings. Our team includes alumni from most financial services regulators, including in both senior and staff positions. Our industry-leading Public Policy team is fully integrated with our regulatory lawyers.

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Our clients include:

  • Commercial, investment and merchant banks, trust companies
  • Alternative sources of capital (e.g., private equity and mezzanine funds, hedge funds and sovereign wealth funds)
  • Insurance companies
  • REITs
  • Investment advisers, mutual funds
  • Financial infrastructure organizations (e.g., clearinghouses, data repositories, exchanges, trading platforms)
  • Multilateral and export credit agencies 
  • Specialty finance companies
  • Broker-dealers, underwriters, financial advisors
  • Borrowers, issuers of debt, equity and hybrid securities
  • Sovereigns, governmental agencies, regulatory authorities
  • Financial guarantors
  • Payment systems and financial technology companies
  • ABS issuers, originators, servicers, trustees, etc.