Gibson Dunn | Global financial regulation

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Gibson, Dunn & Crutcher’s global financial regulatory group provides comprehensive regulatory advice on all aspects of compliance, enforcement and transactions.

Our clients are the world’s leading financial institutions, including banks, financial holding companies, insurance companies, brokers, investment advisers, asset managers, private fund managers, service providers. payment services and e-money businesses, as well as businesses spanning the fintech ecosystem. , including cryptocurrency companies. We also represent end users who are impacted by financial regulations.

Our regulatory lawyers are based in major financial centers around the world, including New York, London and Hong Kong. Many of our team have significant internal experience with financial institutions or have held senior positions in the world’s most important regulatory and policy bodies, including the Securities Exchange Commission (SEC) of the United States. United States, the Commodity Futures Trading Commission (CFTC), the Financial Conduct Authority (FCA) of the United Kingdom and the Hong Kong Securities and Futures Commission (SFC). Our team has advised on matters involving all of these regulators, as well as the Federal Reserve Board, Office of the Comptroller of the Currency, Federal Deposit Insurance Corporation, Consumer Financial Protection Bureau, New York Department of Financial Services, the Prudential Regulation Authority (PRA), the Hong Kong Monetary Authority (HKMA), the Monetary Authority of Singapore (MAS) and many other global regulators including:

  • Financial Markets Authority (AMF)
  • Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin)
  • Bundesministerium der Finanzen (BMF)
  • California Department of Financial Protection and Innovation (DFPI)
  • Central Bank of Ireland
  • Dubai Financial Services Authority (DFSA)
  • European Banking Authority (EBA)
  • European Association of Financial Markets (ESMA)
  • European Systemic Risk Board (ESRB)
  • Financial Sector Regulatory Authority (FINRA)
  • Financial Services and Markets Authority (Belgium) (FSMA)
  • Financial Stability Board (FSB)
  • International Organization of Securities Commissions (IOSCO)
  • National Futures Association (NFA)
  • Ontario Securities Commission (OSC)

We are trusted advisors to our clients, providing strategic advice regarding regulatory changes and the implementation of new requirements in the jurisdictions in which we operate. We regularly represent our clients before regulators formally and informally on a wide range of issues. We also work closely with regulators and major industry associations and have led industry responses to proposed far-reaching reforms in a range of jurisdictions.

Our services include advice on:

  • complex conduct and governance issues, including the implementation of senior management accountability regimes and advising senior management and boards of directors on culture and conduct risks;
  • regulatory issues in merger and acquisition transactions, including on a cross-border basis
  • dealing with customer complaints, including conducting previous business reviews, designing, implementing and reviewing complaint handling and redress programs;
  • license and registration applications, and engagement with regulators to seek remedies, exemptions and interpretations in relation to regulatory compliance issues;
  • financial policy matters, including helping to shape policies that impact our clients; and
  • on the functioning of financial services companies inside and outside the regulatory perimeter.

Our market-leading practice regularly defends our clients in their most important regulatory investigations and enforcement issues on high-profile issues such as market misconduct, governance failures, anti-trust compliance. money laundering and terrorist financing, cybersecurity breaches and failures of systems and controls. We also regularly conduct internal reviews and investigations in relation to these matters, including in some cases at the request of regulators or in parallel with their investigations.

Given the breadth of our practice, we regularly collaborate with our colleagues in a range of practice groups including Securities Enforcement, Anti-Corruption & FCPA, Crisis Management, Environmental, Social & Governance (ESG), Privacy, Cybersecurity and Data Innovation, Investment Funds, Derivatives, Capital Markets, Anti-Money Laundering, Public Policy, Securities Litigation and White Collar Defense and Investigations.


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