Financial Services

Katten’s Financial Services Practice advises a broad range of participants in the financial services arena, including broker-dealers, futures commission merchants, investment advisors, finance companies, investment bankers, futures and securities exchanges, commodity trading advisors, pension funds, banks and insurance companies, as well as investment vehicles such as hedge funds, commodity pools, venture capital funds and private equity funds, securitization vehicles, mutual funds and bank collective investment funds. Our attorneys are well-versed in the latest developments in the industry, and several have previously held senior positions with regulatory agencies or have been in-house counsel at financial services firms.

Banking

We represent a number of financial institutions, including banks, savings associations, trust companies and their parent holding companies, on a broad range of regulatory issues before federal and state agencies nationwide. Our banking attorneys provide advice on banking laws and regulations, applications to bank regulators, mergers and acquisitions of bank and thrift holding companies, branch acquisitions and sales, and securities laws.

Broker-Dealer

Our diverse group of broker-dealer clients includes many of the largest full-service broker-dealers and investment banks on Wall Street, large online brokerage firms, small proprietary trading firms, “captive” broker-dealers owned by hedge funds or investment advisors, clearing firms and insurance company-affiliated broker-dealers. We provide business-sensitive advice on all aspects of broker-dealer legal and regulatory issues and have extensive experience handling transactions involving transfers of ownership interests in broker-dealers.

Structured Products

We regularly advise financial institutions, derivatives dealers and hedge fund and other asset managers in structuring, negotiating and documenting hedge fund linked and other structured investments as well as a full range of exchange-traded and over-the-counter (OTC) derivatives. Our representation includes advising clients concerning securities, commodities and banking law compliance and regulatory matters as well as domestic and cross-border tax issues.

Futures and Derivatives

Katten is one of the few law firms with significant depth of experience in this complex area of law. We advise a broad spectrum of domestic and international investment banks and brokerage firms, fund managers, trading advisors and proprietary trading firms in all aspects of exchange-traded and over-the-counter futures and derivatives transactions. We also represent both U.S. and foreign derivatives exchanges and clearing organizations, and our attorneys are highly experienced in representing futures commission merchants and their affiliates in connection with transactional matters.

Investment Management

Katten provides advice with respect to the organization and day-to-day operation of private U.S. and foreign investment funds, public and private commodity pools, registered open-end and closed-end investment companies, insurance companies offering hedge fund life insurance and annuities, and hedge fund incubators. We strive to create and develop innovative investment fund structures to address the specific needs of our clients.

Financial Services Litigation

Our litigators have aggressively and successfully litigated numerous complex, high-stakes matters for clients ranging from the largest global financial services firms to local, mid-sized broker-dealers and private hedge fund managers. Katten’s financial services litigators understand the full range of financial services and products and are deeply familiar with the compliance and supervisory regimes, capital structures and real-world business interests of the industry.

Professionals