Arnold & Porter counsels clients on complex issues arising under the statutes, regulations, and regulatory guidance governing financial services firms, their structure and governance, and the products and services they provide. We also counsel clients on the application of agency guidance documents and statements of policy on a wide range of issues, in order to assist in identifying significant legal, supervisory, compliance, operational and reputational risks, and implementing policies, procedures, systems and controls tailored to address those risks.
We work with clients to obtain regulatory approvals, registrations and licenses required to conduct and expand their businesses. We frequently meet with regulators and work with clients to provide comments on proposed regulations and request interpretations of existing statutes and rules. These efforts have led to favorable changes to agency rules and novel legal interpretations that have enabled our clients to offer new products and services, structure operations, and to expand the scope of their operations in an efficient manner, consistent with their business objectives.