Greenberg Traurig’s Financial Regulatory and Compliance Group brings together attorneys from various offices and practice areas to assist financial services firms of all types and sizes as well as vendors to those firms as they face regulatory, legislative, supervision, examination, licensing, compliance, and governance matters.

The breadth and depth of our experience, coupled with our regional and international diversity, positions us to collaborate across practices and geographies to deliver the quality service and value that financial services clients require in today’s world.

Clients that we counsel include:

  • Banking groups
  • Securities broker-dealers
  • Futures commission merchants and introducing brokers
  • Mortgage originators and servicers
  • Payday and consumer lenders
  • Auto finance companies
  • Municipal advisors
  • Money services businesses
  • Payment system providers
  • Investment companies and private funds
  • Commodity pool operators and commodity trading advisors
  • Insurance company groups
  • Trade associations
  • Securities market vendors and agencies

The practice offers services in such areas as:

  • Bank Regulation and Compliance
  • Broker-Dealer Regulation and Compliance
  • Consumer Finance Regulation Compliance Enforcement
  • Financial Institution Formation, M&A and Divestment
  • Futures and Derivatives Regulatory and Compliance
  • Investment Adviser and Asset Manager Compliance
  • Mortgage Lending and Servicing Regulation
  • Unclaimed Property

For more information about the Financial Regulatory and Compliance practice, please click here.