Davis Polk is a leader in representing clients in regulatory enforcement proceedings and government investigations. As a firm at the forefront of all aspects of financial regulatory reform, we have an in-depth understanding of the critical issues that the financial services industry has confronted since the financial crisis.
Our ability to advise on a full range of bank and trading and markets regulatory issues enables us to provide candid and informed assessments and proactive risk management arising from the complex problems clients face.
Our cross-border team combines years of government experience with the breadth and scope of leading practitioners in banking regulation, trading and markets regulation, enforcement and investigations, litigation, antitrust and corporate practices.
Our extensive understanding of the agencies involved in financial regulation makes us particularly suited to advise clients in connection with:
- Interacting with the various regulators in multiagency inquiries
- Responding to subpoenas
- Conducting internal investigations
- Negotiating enforcement orders across multiple jurisdictions
- Handling removal and prohibition orders and civil money penalties
- Defending corporate directors and officers, accountants and attorneys
A large part of our practice involves representing financial institutions, corporations, individuals and professional firms in nonpublic regulatory proceedings conducted by the prudential banking regulators, markets regulators and state regulators, including the state AGs.
We have a long history of working directly with the various agencies and understand their structure, strategic vision and priorities.