Financial Regulatory Advice

Our broad team of FIG lawyers provides sophisticated and comprehensive U.S. bank, securities and derivatives regulatory advice to many of the world's leading financial institutions, including U.S. and non-U.S. banks, broker-dealers, derivatives dealers, hedge funds, asset managers, clearing organizations and trading markets.

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, CFTC, 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.


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