Our broad team of FIG lawyers provides sophisticated and comprehensive U.S. bank and securities regulatory advice to many of the world's leading financial institutions, including U.S. and non-U.S. banks, insurance and reinsurance companies.

Our financial regulatory advice to financial institutions has spanned a wide range of subjects, including the chartering of new banking institutions and their subsidiaries; charter conversions; conversions to BHC; FHC elections; the expansion of regulated banking and non-banking activities through acquisitions and de novo expansion; broker-dealer registration and material changes in business operations; the treatment of new financial products under regulatory capital requirements; and legal risks in cross-border payment and securities settlement systems.

Many of our current and former lawyers have held prominent positions at the Treasury Department, Federal Reserve, SEC, OCC, FDIC, OTS, OFAC and other government regulators and SROs. As a result, we offer unique insight in representing our major financial institutions clients before these and other regulatory agencies.

• 1^st band for Financial Services Regulation across the categories of Banking Compliance, Broker-Dealer Compliance, Financial Institutions M&A – Chambers USA 2012




• “Davis Polk is one of the most established firms in the financial services arena and stands out for its excellent banking and broker-dealer compliance and enforcement work; it is also lauded as a top-tier transactional choice for financial institutions. Clients appreciate the firm's groundbreaking Dodd-Frank resources, and the team is noted for advising all six of the largest US banks on compliance aspects of that act.” – Chambers USA 2012




• “The firm is equally impressive in broker-dealer matters, where it represents the cream of the financial community. Highlights include advising PIMCO and Lloyds Banking Group on the establishment of broker-dealer subsidiaries.” – Chambers USA 2012




• 1^st tier for Financial Services Regulatory Advice – IFLR1000 2013




• Davis Polk’s “financial regulatory practice has more than earned its first-tier status once again, proving adept at advising institutions on major transformations as well as on regulatory requirements such as living wills.” – IFLR1000 2013




• “Sources agree that the firm has been little short of spectacular in its response to legislative developments, with its analysis of Dodd-Frank seen as the most authoritative around.” – Chambers USA 2011