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.
Multi-billion dollar financial services organization Regulatory and legislative counseling
Advise client on matters related to the federal and international regulation of money market mutual funds.


Passage of the Economic Growth Act Modifies the Dodd-Frank Act and Provides Other Financial Regulatory Relief
HUD to Evaluate Disparate Impact Discrimination Standard
Industry-Friendly OCC Regulations May Be On The Horizon
Banking Law360, Capital Markets Law360, Consumer Protection Law360, Public Policy Law360
Comptroller of the Currency: OCC's Current Agenda Focused on Relief for Community Banks and a Potential Fintech Charter
How Senate Bill Would Change Compliance For Midsize Banks
Banking Law360, Capital Markets Law360, Consumer Protection Law360, Private Equity Law360, Public Policy Law360, Securities Law360

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