Practice Area · VII
Financial Services Regulation.
Regulation as a framework, not a barrier.
Overview
Prudential regulation, conduct-of-business rules, fintech licensing, and enforcement defense. Ashford & Merritt’s financial services regulation practice serves clients across our 22 offices worldwide, with particular depth in the jurisdictions where our attorneys are admitted and regularly appear. We approach every matter with the firm’s founding principle: legal counsel that explains itself, in plain English, regardless of jurisdiction.
When you might need a financial services regulation lawyer
You are facing a matter in this area and need counsel who understands the relevant law, the applicable procedure, and the practical realities of how decisions get made, in your jurisdiction and in any other jurisdiction that may become relevant.
How we work
We begin with a clear, written explanation of what we believe the matter involves, what it is likely to cost, and what outcomes are realistic. We recommend the right level of process for the size and stakes of the matter. When the work crosses borders, we coordinate across our offices so the client has a single point of contact and a coherent strategy. When a matter falls outside what we handle, we say so and refer to trusted counsel who do handle it.
Prior results do not guarantee a similar outcome.
2 attorneys handle Financial Services Regulation matters at the firm.
Begin a financial services regulation inquiry
Tell us what is happening. We will tell you what we think.
Financial Services Regulation matters are often time-sensitive. We aim to schedule first consultations within 48 hours and review intakes the same business day where possible.