Davis Polk’s trading and markets practice, which is a part of the firm’s Financial Institutions Group (FIG), is one of the leading practices of this type in the country. We are well known and highly respected throughout the securities and derivatives industries and at all of the U.S. trading and market regulators.
We represent many of the largest domestic and international investment banks in a wide variety of legal, compliance and regulatory matters. We also represent broker-dealers, derivatives dealers, futures commission merchants, commodity pool operators, clearing organizations and trading markets.
The practice focuses primarily on the regulatory needs of domestic and international financial institutions and their dealings with the SEC, FINRA and other regulators.
Our lawyers work collaboratively with Davis Polk’s Capital Markets and Investment Management Groups and the firm’s Derivatives practice to provide financial institutions with substantial access to comprehensive legal knowledge in the area of financial product development.
FIG’s top-tier bank regulatory practice allows us to assist clients that are part of banking organizations to navigate the complex interplay between banking and broker-dealer regulation.
We have been an active voice in the current debate on regulatory reform of the financial markets, representing individual firms and trade organizations in commenting on, and contributing to, various legislative and rule-making proposals.
Updates and insights on financial regulation, including legislation, fintech, economic sanctions and U.S. Basel III