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Servicios Financieros

Ampliamente reconocido como uno de los más grandes del país, nuestro grupo de ejercicio de Servicios Financieros cuenta con más de 35 abogados, los cuales proporcionan servicios relacionados con regulaciones, litigios, legislación y operaciones a los clientes de instituciones financieras internacionales.  Nos ocupamos de cuestiones reglamentarias y operaciones complejas; representa a clientes en cuestiones legislativas (incluyendo audiencias ante el Congreso e investigaciones); y la defensa en casos relacionados con la industria de servicios financieros a nivel administrativo y en los tribunales estatales y federales, así como el Tribunal Supremo de Estados Unidos. En el Reino Unido asesoramos en todos los aspectos de las leyes de servicios financieros del Reino Unido y de la Unión Europea, con un enfoque principal en actividades de asesoría y regulatorias para las empresas reguladas FCA y PRA.

Este grupo es reconocido por el desarrollo de estructuras innovadoras y de soluciones novedosas para las cuestiones reglamentarias, lo cual le permite al clientes optimizar sus estrategias comerciales. Contamos, entre nuestros clientes, con una amplia variedad de empresas holding de bancos, entidades de ahorro, bancos extranjeros, compañías de seguros, sociedades de valores, gerentes de inversiones, actividades de comercio electrónico y gobiernos extranjeros.

Ofrecemos nuestra amplia experiencia en el trato con las instituciones financieras y los organismos reguladores de valores, tanto federales como estatales, y con las autoridades reguladoras estatales de seguros, así como con la Oficina Federal de Seguros de reciente creación. Varios miembros del grupo han ocupado cargos de alto nivel en agencias reguladoras federales clave y contamos con el respaldo de los recursos interdisciplinarios de Arnold & Porter que aportan sus grupos de ejercicio, entre los cuales: Derecho Corporativo y Valores; Políticas Públicas y Legislación; Antimonopolio/Competencia; Tributario, Fideicomisos y Sucesiones; ERISA, Medioambiente y Propiedad Intelectual.

70+: Lawyers providing financial institution clients with comprehensive regulatory, litigation, legislative, and transactional services.
Countless Connections: We have deep experience and familiarity with the views and expectations of the financial regulators.
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Experience Highlights

  • Several banks regarding compliance with the New York Department of Financial Services' Part 500 cybersecurity rules.

  • Many banks and broker-dealers regarding sweep deposits and brokered CD programs.

  • Wealth management arms of several prominent banking organizations on strategic issues, acquisitions, employment matters, products and services documentation, customer-facing agreements, negotiation of vendor agreements, and a broad range of bank and securities regulatory compliance issues.

  • Multiple banking organizations in the design, documentation, formation, offering, and operation of private investment funds for institutional and high-net-worth investors.

  • Multiple domestic and foreign banks, securities firms and other financial services firms on AML/BSA compliance, investigations and enforcement matters.

  • Multiple banks on investments in and acquisitions of banks, Fintech companies, finance businesses, broker-dealers, and investment advisers.

  • Multiple U.S. and foreign banks on Volcker Rule and merchant banking rule compliance in structuring joint ventures, investment programs and private fund products.

  • Piermont Bank in all aspects of forming a new state-chartered bank, including all regulatory applications (advice and processing), corporate governance advice, and initial capital raise.

    • Multiple large banks in numerous investigations by DOJ and the Small Business Administration’s Office of Inspector General in connection with fraudulent Paycheck Protection Program (PPP) and COVID-19 Economic Injury Disaster (EIDL) loans.
  • Financial services firms and borrowers regarding (1) new financing facilities under the COVID-19 emergency Federal Reserve and CARES Act financing facilities, and (2) the enforcement and litigation considerations associated with these financing programs and regulatory guidance.

Language - Español

Focus Areas

Key Contacts

Kevin M. Toomey
Kevin M. Toomey
Socio
Washington, D.C.
+1 202.942.5874
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Related Services

Recognition

  • Chambers USA
    Financial Services Regulation: Banking—Enforcement & Investigations (Nationwide) (2024)
    Financial Services Regulation: Banking—Compliance (Nationwide) (2024)
  • The Legal 500 US
    Financial Services Regulation: Banking (2024)
    Financial Services Regulation: Consumer Finance (2024)
    Financial Services Litigation (2024)
    Fintech (2024)
    Financial Services Regulation: Banking (2024)
    Financial Services Regulation: Broker Dealers (2024)
  • Chambers Latin America
    Banking & Finance (2020)
  • Chambers FinTech
    FinTech Legal (USA) (2024)
  • The Legal 500 Latin America
    Banking & Finance (2024)
  • IFLR1000
    Financial Services Regulatory (USA) (2024)
    Project Finance (USA) (2024)
    Banking (USA) (2024)
    Restructuring & Insolvency (USA) (2024)
    Restructuring & Insolvency (UK) (2023)
  • Chambers Global
    Banking & Finance (Latin America-wide) (2017)
  • U.S. News & World Report and Best Lawyers
    "Best Law Firms" for Insurance (San Francisco) (2022)
    "Best Law Firms" for Financial Services Regulation (National, Washington, D.C.) (2022)
    "Best Law Firms" for Banking & Finance (National, Washington, D.C.) (2025)
    "Best Law Firms" for Insurance Litigation (Colorado) (2022)
    "Best Law Firms" for Banking & Finance Litigation (National, San Francisco) (2017)
  • Law360
    MVP for Banking Law (2015)
    Banking Practice Group of the Year (2014)