Financial Services Regulatory

Allen & Overy's U.S. FSR practice has bases in New York, Washington, D.C. as well as Europe and Asia. Allen & Overy has over 160 U.S. qualified lawyers practicing in international offices outside the U.S. who provide advice to clients on particular U.S. FSR issues across all the world’s principal financial markets.

Our team offers advice on a broad range of regulatory topics including: general banking compliance; broker dealer regulation; investment advisor regulation; investment company/fund regulation and 1940 Act status issues; securities regulation; banking enforcement and investigations; M&A; and on the intersection of political law and financial regulatory issues, many of which are at the heart of the financial markets, including at various levels of Dodd-Frank reform.

Specifically, the practice frequently advises on a number of financial services laws and regulations including the following: Bank Holding Company Act, Commodity Exchange Act, National Bank Act, International Banking Act, Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, Investment Advisers Act, Commodities Exchange Act, New York Banking Law and New York Insurance Law, among others.

Our lawyers are in the middle of almost every regulatory initiative and debate concerning regulatory change. We regularly interact with each key federal regulator. We also represent SIFMA and other trade associations on regulatory change issues.  The U.S. FSR practice has an intimate familiarity with the banking and securities laws and regulations, and is sought after by the regulators such as the SEC and the Federal Reserve Bank of New York for advice, training and know-how teach-ins.

One of the key ways in which we differentiate from other U.S. regulatory practices is our ability to bring a global perspective to issues through the strength of our global regulatory network.  We are an integral part of our global regulatory practice which shares know how and best practice across the group and our network of offices providing our clients with seamless and efficient advice.  The global team includes over 20 partners who solely practice in the financial services regulatory area – something which few, if any other firms can say.  

You can find more information about the Financial Services Regulatory practice area on the main Allen & Overy website.