Financial Services Regulation

Clients depend on our insights about how regulatory proposals and regulatory responses to financial distress will impact their businesses.

Davis Polk has long been a leader in financial regulatory advice. Since the Dodd-Frank Act of 2010, clients have sought our assistance on more than 175 regulatory comment letters, as well as help preparing for congressional testimony. Our work spans areas including capital and liquidity standards for the largest banks; regulation of broker-dealers and trading; and evolving rules for fintech and cryptocurrencies.

Clients appreciate that our team combines deep regulatory experience with the practical insights of transactional lawyers. A number of our partners were previously top regulators, senior in-house counsel of major financial institutions and Supreme Court law clerks. Further, several of our partners have authored or edited key texts on financial regulation and regularly teach or give guest lectures at major universities.

Financial services and government clients alike have found our extensive commentary and detailed guides on regulatory developments to be an invaluable resource.



FinReg is a Davis Polk blog that offers updates and insights on financial regulation topics, including reform, fintech, and U.S. Basel III.

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  • Chambers USA:
    • Banking (Compliance), Band 1, 2010-2016
    • Broker-Dealer (Compliance & Enforcement), Band 1, 2011-2016 
    • Securities: Regulation, Band 1, 2016
    • The only firm ranked in Band 1 within both Financial Services Regulation categories of Banking (Compliance) and Broker-Dealer (Compliance & Enforcement), 2011-2016
    • A client comments: "I think the firm has really made a name for itself as the premier go-to firm for Dodd-Frank regulatory issues, particularly in relation to the Volcker Rule and swap dealer registration." 
  • IFLR1000:
    • Financial Services Regulatory Advice, Tier 1, 2016 
    • “Financial Regulation Team of the Year”: Americas, 2012-2015
  • Law360 – "Practice Group of the Year": Banking, 2013-2015
  • Legal 500 U.S. – “Davis Polk & Wardwell LLP has tremendous visibility within the industry and has quickly become recognized as a real thought leader across a range of Dodd-Frank-related matters.” 

  • Financial Law Review – "Law Firm of the Year": Americas, 2012 and 2013