Trading & Markets Compliance and Enforcement
We represent financial institutions, from multinational, regional and community banks to broker-dealers and nontraditional lenders, fintech and cryptocurrency companies. The team comprises a robust roster of former government officials and senior members of other financial regulators who served as deputy head of enforcement at the Financial Industry Regulatory Authority, deputy chief counsel of the U.S. Securities and Exchange Commission’s Division of Enforcement, examiner from the Office of the Comptroller of the Currency and other positions.
Our attorneys’ experience working for financial regulators positions McGuireWoods to effectively represent the world’s largest financial institutions in connection with inquiries by the SEC, FINRA, OCC, CFPB, U.S. Department of Justice, Federal Reserve Board, Federal Deposit Insurance Corporation, state attorneys general and other regulators.
From the receipt of a supervisory letter or grand jury subpoena to a full-blown investigation with significant media interest, we gauge the potential legal, business and reputational consequences, counseling clients on the best path forward to resolve the issue while avoiding damaging missteps. McGuireWoods also helps financial services clients limit collateral consequences of investigations by establishing corrective measures for enforcement actions relating to trading and market access.
McGuireWoods’ trading and markets compliance and enforcement team draws on its experience and knowledge of the financial industry to provide clients with compliance counseling and enforcement defense services.
Nationwide rankings for securities / capital markets law and securities regulation.
– Best Law Firms
Nationwide rankings for financial services regulation: broker-dealer (compliance and enforcement).
– Chambers USA
