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Financial Services Corporate & Regulatory Team

Financial Services Corporate & Regulatory Team

Financial Services Corporate & Regulatory Team

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Overview

Our attorneys focus on financial institutions on a daily basis and work to know your business, management team, competitors, market, regulators, customers, employees, and community. With our industry-specific focus and our years in the field, we are known and respected by banks, outside counsel at other firms and regulators across the country.

Our team focuses on acquisitions and sales, as well as corporate governance, regulatory, compliance and securities matters for more than 300 financial institution clients. In addition, we have a large number of attorneys in our firm who regularly provide litigation, lending, work-out, bankruptcy, employment law, employee benefits, fintech investment, emerging payments and prepaid cards, environmental, intellectual property, tax, technology and outsourcing, fiduciary law (including personal estate planning for bankers), real estate and REITs, white collar crime and similar legal advice for our financial institution clients. We enjoy being able to say that whatever problem a banker may have, we have a lawyer who has worked on a similar problem for a banker.

Our broad experience, coupled with our innovative solutions and our long standing ties to regulators, trade associations and service providers, make us invaluable assets to our clients who seek counsel for the following types of matters, among others:

  • Mergers, Acquisitions & Sales
  • Charter Conversions and Consolidations
  • Corporate Governance
  • Securities Offerings & Reporting
  • Employee Benefits & Executive Compensation
  • D&O Insurance and Risk Management
  • Financial Institutions Litigation
  • Lending
  • Holding Companies
  • Insurance & Other Financial Services
  • Labor & Employment
  • Investments in FinTech
  • Development and Licensing of FinTech
  • Emerging Payments & Prepaid Cards
  • Emerging Technologies
  • Workouts & Financial Restructuring

Our team, which includes former in-house counsel at major financial institutions, understands the variety of risk considerations involved in consumer regulatory enforcement. We work to achieve matter resolutions that meet both our clients' short term needs and broader strategic goals.

How we have helped clients

Our broad experience, coupled with our innovative solutions and our long standing ties to regulators, trade associations and service providers, make us invaluable assets to our clients who seek counsel for the following types of matters, among others:

  • Mergers, Acquisitions & Sales
  • Charter Conversions and Consolidations
  • Corporate Governance
  • Securities Offerings & Reporting
  • Employee Benefits & Executive Compensation
  • D&O Insurance and Risk Management
  • Financial Institutions Litigation
  • Lending
  • Holding Companies
  • Insurance & Other Financial Services
  • Labor & Employment
  • Investments in FinTech
  • Development and Licensing of FinTech
  • Emerging Payments & Prepaid Cards
  • Emerging Technologies
  • Workouts & Financial Restructuring

How we have helped clients

Our broad experience, coupled with our innovative solutions and our long standing ties to regulators, trade associations and service providers, make us invaluable assets to our clients who seek counsel for the following types of matters, among others:

  • Mergers, Acquisitions & Sales
  • Charter Conversions and Consolidations
  • Corporate Governance
  • Securities Offerings & Reporting
  • Employee Benefits & Executive Compensation
  • D&O Insurance and Risk Management
  • Financial Institutions Litigation
  • Lending
  • Holding Companies
  • Insurance & Other Financial Services
  • Labor & Employment
  • Investments in FinTech
  • Development and Licensing of FinTech
  • Emerging Payments & Prepaid Cards
  • Emerging Technologies
  • Workouts & Financial Restructuring

Our team, which includes former in-house counsel at major financial institutions, understands the variety of risk considerations involved in consumer regulatory enforcement. We work to achieve matter resolutions that meet both our clients' short term needs and broader strategic goals.

Related Capabilities

  • Payment Systems

  • Financial Services Corporate & Regulatory Team

Related Insights

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Nov 04, 2025

Clarity on the FCA’s approach to naming firms under investigation

The High Court’s recent judgment in R (CIT) v FCA [2025] EWHC 2614 (Admin) provides critical clarity on the FCA’s powers to name firms under investigation. Upholding the regulator’s decision to publicise its probe into a yet unnamed firm, referred to as “CIT”, the court reaffirmed the legitimacy of the FCA’s “exceptional circumstances” test, rejecting arguments that the regulator had misapplied its Enforcement Guide. This ruling comes amid heightened scrutiny of the FCA’s enforcement transparency, following its abandoned proposal to adopt a broader “public interest” test. The judgment not only reinforces the high threshold for naming firms but also delineates the boundaries of judicial oversight, confirming that decisions on exceptionality and desirability rest primarily with the FCA, subject to reasonableness review. For firms navigating regulatory risk, the decision signals a more assertive, but still constrained, approach to public disclosures by the FCA.
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The High Court’s recent judgment in R (CIT) v FCA [2025] EWHC 2614 (Admin) provides critical clarity on the FCA’s powers to name firms under investigation. Upholding the regulator’s decision to publicise its probe into a yet unnamed firm, referred to as “CIT”, the court reaffirmed the legitimacy of the FCA’s “exceptional circumstances” test, rejecting arguments that the regulator had misapplied its Enforcement Guide. This ruling comes amid heightened scrutiny of the FCA’s enforcement transparency, following its abandoned proposal to adopt a broader “public interest” test. The judgment not only reinforces the high threshold for naming firms but also delineates the boundaries of judicial oversight, confirming that decisions on exceptionality and desirability rest primarily with the FCA, subject to reasonableness review. For firms navigating regulatory risk, the decision signals a more assertive, but still constrained, approach to public disclosures by the FCA.
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