Financial Regulatory

Overview

Gibson Dunn’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, hedge funds, insurance companies, broker-dealers, investment advisers, asset managers, private fund managers, payment service providers, as well as businesses spanning the fintech ecosystem. We also represent end-users affected by financial regulations.

Our regulatory lawyers are based in the world’s leading financial centers, including New York, London and Hong Kong.  Many of our team members have significant in-house experience within financial institutions or have worked in senior positions within the world’s most prominent regulatory and policy agencies.

Our teams provide clients expert assistance on the full range of regulatory and compliance matters, including advising on:

• Strategic considerations in relation to regulatory changes and the implementation of new regulatory requirements
• Regulatory issues in mergers and acquisitions, including cross-border transactions
• Applications for licenses and registrations, and engagement with regulators to seek relief, exemptions and interpretations in connection with regulatory and compliance matters
• Complex conduct and governance issues, including advising senior management and boards of directors on culture and conduct risk
• Market-related issues such as market abuse, short selling, IPO sponsor misconduct, market misconduct, and governance failings
• Systems and controls for financial institutions for compliance with regulatory requirements, conflicts of interest, anti-money laundering and counter-terrorist financing compliance, cybersecurity breaches
• Cryptocurrency and payment service provider business operations, inside and outside of the regulatory perimeter
• Compliance with financial sanctions regimes in the US, UK and EU, and advice on building and assurance of sanctions compliance frameworks, systems and controls
• Internal investigations and internal controls reviews
• All aspects of regulatory enforcement actions

Our market leading practice regularly defends clients in their most significant regulatory investigations and enforcement matters. We also regularly conduct internal reviews and investigations in relation to these matters, including in some instances at the request of regulators or in parallel with their inquiries.