Strategic & Regulatory Advice

Regulatory effects on business strategies and due diligence

  • Provide extensive diligence reviews of potential and existing financial sector investments, focusing on cost analyses, operational, competitive dynamics, and regulatory risks
  • Assist clients in understanding new U.S., European Union, and Chinese laws and regulations as well as strategic threats – and opportunities – presented to their businesses by those changes
  • Prepare reports on how regulatory developments impact business models & activities

Public policy strategy and communications

  • Provide targeted advice to best position clients to the public and policymakers in Washington, D.C., and globally, as well as supporting strategic communications plans
  • Educate the public and key stakeholders about policy issues on behalf of clients through events, speaking engagements, and earned, owned, and digital media
  • Produce thought leadership to advance client interests, including white papers

Monitoring domestic and international regulatory developments

  • Provide early and accurate insights about impending regulatory and legislative actions in the U.S., East Asia, and Europe
  • Produce regular regulatory update memoranda tailored to specific client needs

Representative Engagements

  • Provided strategic advice to large U.S. and European financial institutions and leading fintech companies on CFPB, CFTC, DOJ, FDIC, Fed, FINRA, FTC, NFA, OCC, and SEC issues, as well as European cybersecurity, competition, and financial markets regulatory topics
  • Advised a private equity fund on anti-money laundering risks associated with a potential investment in a cryptocurrency business
  • Assisted an ETF sponsor in navigating the regulatory product-approval process by providing expert advice regarding messaging, issue positioning, and the development of related materials
  • Advised non-U.S. fintech companies on formulating U.S. business expansion strategies, including overseeing state licensing applications and bank partnership negotiations
  • Performed for private equity funds due diligence reviews by identifying risks and growth potential related to prospective investments in financial services firms
  • Advised on regulatory strategy and strategic communications for major IPOs, SPAC transactions, and mergers/tender offers
  • Advised high-growth fintech company on selecting and conducting outreach to Asian and U.S. potential strategic investors
  • Developed strategic policy insights for large financial firms on U.S. and European trends related to environmental, social, and governance (ESG) policy issues
  • Assisted trade associations in strategic communications planning, as well as evaluating, driving, and proactively addressing public policy developments
  • Advised self-regulatory organizations on strategy and communications
  • Worked with product development teams and emerging growth companies to assist with regulatory clearances and approvals at federal and state levels
  • Conducted regulatory risk assessments for global banking institutions on strategic issues related to derivatives regulation, the Volcker Rule, and prudential standards
  • Tracked and analyzed legislation and regulation in the U.S. and Europe for a large multinational financial services firm, including constructing a private online database and tracking platform