Goodwin

Goodwin‘s banking and broker-dealer practices are extensive and cater to a wide range of clients. In the banking space, the firm offers comprehensive expertise across all areas of banking compliance, including the regulation of bank holding companies, savings and loan holding companies, and foreign banking organizations. The team also advises on capital regulation, regulatory issues affecting business combinations, and consumer compliance matters related to the mortgage and credit card industries. Notably, they provide guidance on anti-money laundering (AML), risk management, and affiliated party and insider transactions, among other banking-related concerns. In the broker-dealer space, the firm provides strategic counsel on broker status and exemptions from registration, including advising on fund sponsor arrangements with unregistered “finders” and venture “scout” programs. The practice assists clients with SEC registration, FINRA membership, and structuring considerations, as well as day-to-day legal, regulatory, and compliance advice. This includes personnel registration, licensing, recordkeeping, marketing, and advertising, as well as supervision and sales practices. Samantha Kirby leads the firm’s banking practice in Boston, while William Stern, based in New York, and Nick Losurdo, based in Boston, lead the financial services regulation practice.