Financial Services

The financial services sector faces a complex array of challenges, from the tightening of the credit cycle globally to the increasingly aggressive international regulatory environment. With technology and new entrants comprehensively reshaping the market landscape, navigating new paths to growth becomes even more complicated. We can help.

Client Successes

  • Represented Sea World Entertainment’s underwriters, including Goldman Sachs, JP Morgan, Deutsche Bank, Barclays, and Citigroup, in the defense of a federal securities class action.

  • Represented Santander as Administrative Agent and Lead Arranger, BBVA Bancomer as Sustainability Agent and Lead Arranger and 9 other international banks in Fibra Uno’s $1.1 billion revolving credit agreement – the first loan in Latin America arranged in accordance with the Sustainability-Linked Loan Principles.

  • Advised Jiangxi Bank on its US$952M global offering and listing of its H shares on the Hong Kong Stock Exchange.

  • Represented AEW Capital Management in the formation of a new private investment fund focused on real estate investment opportunities in Asia.

  • Represented clients such as Morgan Stanley, RBC, UBS, and Wells Fargo as agents and first lien lenders on exit and debtor-in-possession lending transactions. We also regularly advise financial institutions, private equity, and hedge funds in the acquisition of distressed assets.

  • Represented the sole lead arranger and bookrunner with respect to US$525M exit credit facilities in the emergence from Chapter 11 of the U.S. Bankruptcy Code by Mattress Firm, Inc

  • Advising financial service clients navigate the changing regulatory environment and determining its compliance obligations under U.S. information security and data privacy laws.

  • Represented some of the largest payment systems providers in the world on a wide range of international transactional and regulatory issues, including product development, consumer compliance, and strategic acquisitions.

  • Guided financial services clients such as Barclays, Credit Suisse, Morgan Stanley, Deutsche Bank, UBS, and Societe Generale through investigations and enforcement actions pursued by the U.S. Securities and Exchange Commission (SEC), the U.S. Department of Justice, FINRA, and other U.S. and overseas regulators.

Guiding Financial Services Companies Through Challenging Times

We have decades of experience advising clients from all areas of the financial services industry, and these companies comprise a significant portion of our firm’s client portfolio. Our global team works closely with major commercial banks, insurance companies, securities firms, investment banks, alternative capital providers, and investment advisers across Asia, Europe, Latin America, and the U.S. We partner with our clients to help them identify and pursue the opportunities available in these times of change, while minimizing their exposure to risk.

Valuable Regulatory and Industry Experience

  • Former Deputy Assistant Secretary at the Treasury Department

  • Former Assistant Secretary for Cyber Policy at the U.S. Department of Homeland Security

  • Former Senior Attorney from the Enforcement Division and Corporate and Securities Division of the U.S. Treasury Department’s Office of Thrift Supervision

  • Former Deputy Assistant Secretary at the Treasury Department.

  • Former Vice President and Senior Counsel at Visa U.S.A. Inc.

  • Current Chair of the American Payroll Association’s Government Affairs Task Force on Payroll Cards

  • Former Attorney-Advisor in the Division of Corporate Finance of the SEC

  • Former regional trial counsel of the SEC’s Pacific Regional Office

  • Former Branch Chief from the Northeast regional office of the SEC

  • Former appellate attorney from the U.S. Department of Justice

  • Former Chief Trial Counsel of the Securities and Exchange Commission’s Pacific Regional Office

  • Several former U.S. Attorneys and Federal Prosecutors

Integrated Legal Counsel for the Financial Services Industry

From operations and acquisitions to lending and litigation to formation and financing, we provide strategic legal counsel to help financial services companies move their business forward. Our team works on a wide range of transactions – from regional acquisitions to complex, multibillion-dollar combinations of major institutions. We have experience in virtually every type of capital-raising transaction, including novel recapitalizations of troubled institutions.

In addition, we regularly counsel financial institutions on legislative and compliance matters related to the Dodd-Frank Act, JOBS Act, Bank Secrecy Act, Foreign Corrupt Practices Act, UK Bribery Bill, Financial Regulatory Reform Bills, and USA Patriot Act.

We also advise our clients on strategies to minimize the risk of litigation, as a critical component of our transactional and regulatory counsel. However, when litigation cannot be avoided, we represent our clients in effectively resolving complicated, high-stakes disputes. Our lawyers have also dealt with some of the most sensitive and complex enforcement issues arising out of troubled or distressed situations.

We provide strategic legal counsel across all of the critical areas impacting our clients’ business, including:

  • Anticorruption and compliance

  • Antitrust

  • Bank regulatory

  • Bankruptcy/Restructuring

  • Employment

  • Fund formation

  • Global trade controls

  • International tax

  • Investigations and white collar defense

  • Investment management

  • Legislative counseling

  • Leveraged finance and commercial lending

  • Mergers and acquisitions

  • Payment systems

  • Privacy and cybersecurity

  • Real estate finance

  • Securities and capital markets

  • Securities litigation

Recognition for Our Financial Services Practice

  • Awarded Finance Team of the Year at The Lawyer Awards

  • Ranked in Band 1 for Professional Advisers guide for FinTech by

    Chambers USA

  • Recognized by Latin Lawyer for Project Finance Deal of the Year

  • Awarded Structured Finance and Securitisation Deal of the Year at the 

    IFLR Europe Awards

  • Awarded Best Law Firm for Structured Debt by Alt Credit Intelligence at the ACI US Services Awards

  • Awarded Structured Finance and Securitization Deal of the Year honors at the IFLR Americas Awards

  • Awarded “Best CLO Law Firm” by Alt Credit Intelligence at the Alternative Credit Intelligence European Services Awards

  • Recognized for Americas Transportation Deal of the Year for our work on the Mexico City Airport Trust’s offering of debt securities at the PFI Awards

  • Ranked in Band 3 for Investment Funds: Registered Funds by Chambers USA

PH FedACTionAnti Money Laundering SummitLIBOR Transition TimelineLIBOR Litigation Risk Podcast

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