Financial Regulatory &
Compliance

Greenberg Traurig’s Financial Regulatory and Compliance Group brings together attorneys from offices and practices worldwide to assist financial services firms of all types and sizes, as well as their holding companies, and investors and vendors to those firms. We provide guidance on national and global regulatory, supervisory, enforcement, litigation, legislative and policy, licensing, compliance, corporate, and governance matters.

With offices in Washington, D.C. and important state capitals, we consult regularly with staff from the: U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Consumer Financial Protection Bureau (CFPB), the Federal Trade Commission (FTC), Office of the Comptroller of the Currency (OCC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve Board (FRB), U.S. Department of the Treasury, Financial Crimes Enforcement Network (FinCEN), Commodities Futures Trading Commission (CFTC), U.S. Department of Justice (DOJ), U.S. Department of Housing and Urban Development (HUD), as well as state financial services regulators, securities agencies, and attorneys general offices. With our global reach, we additionally consult regularly with European, Latin American, and Asian financial regulators. We provide our clients with practical strategies to meet their legal and regulatory needs efficiently.

 Our Financial Services Blog

Greenberg Traurig’s Financial Services Observer monitors and reports on news, legal developments, litigation, and legislative actions affecting the financial services industry. Written by members of Greenberg Traurig’s Financial Regulatory and Compliance Group, this blog is designed to help in-house counsel and industry executives stay abreast of major developments affecting their industry. 

Areas of Focus:

• Anti-Money Laundering & Enforcement
• Bank Regulation and Compliance
• Blockchain & Digital Assets
• Broker-Dealer Regulation and Compliance
• Consumer Financial Regulation, Compliance, and Enforcement
• Financial Services Litigation
• Fintech & Digital Payments
• Futures and Derivatives Regulatory and Compliance
• Global Regulation: Europe & UK, Asia, Mexico
• Investment Companies, Private Funds, and Investment Advisers
• Mortgage Lending and Servicing Regulation
• Unclaimed Property