Financial Services

Regulatory and Strategic Counseling

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.


Multi-billion dollar private wealth management and investment advisory firm Regulatory and legislative counseling

Advise client on general banking law compliance, Bank Holding Company Act, OCC, and FDIC rules, and the structure and documentation of private investment funds.

Banco do Brasil Federal Reserve Board Regulatory Approval

Assist bank in obtaining approval from the Federal Reserve Board so that the client can engage in a broader range of financial activities in the United States.

Major investment bank Regulatory advice related to potential transaction
Advising client regarding regulatory and consumer-protection issues for a potential transaction.
Mid-size federal savings bank Examination counseling
Represented client in connection with CFPB examination regarding fair lending, fair lending risk gap analysis and risk assessment, update of strategic plan for submission to regulatory agencies, Volcker Rule compliance program and general regulatory and compliance advice.
FORTUNE 100 financial services organization Regulatory and legislative counseling
Advise client on the expansion of banking operations, including the implications of the Dodd-Frank Act.


The Year Ahead in Banking Regulation
FDIC Proposal Offers Welcome Clarity On Brokered Deposits
Asset Management Law360, Banking Law360, Capital Markets Law360, Compliance Law360, Fintech Law360, Public Policy Law360, Securities Law360
FDIC Issues Proposed Rule on Brokered Deposits
How To Comply With Qualified Financial Contract Rules
Asset Management Law360, Banking Law360, Bankruptcy Law360, Commercial Contracts Law360, Compliance Law360, Financial Services UK Law360, International Trade Law360, Securities Law360
QFC Rules and ISDA 2018 US Resolution Stay Protocol

Email Disclaimer