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Practice/Industry Group Overview
Holland & Knight's Banking and Finance Group has a comprehensive financial services practice that is distinguished by the strength and diversity of our lawyers. We regularly counsel domestic and foreign financial institutions, broker-dealers, investment advisors, mutual funds, money services businesses and other financial service providers. Through our foreign offices and extensive network of correspondent law firms, we also represent domestic and foreign banks in their international operations and activities. We offer our clients a wealth of experience combined with strong technical expertise and a deep understanding of the issues that face financial institutions. This allows our lawyers to formulate practical solutions to address our clients' needs. Substantial areas of our practice include:
Regulatory
Lawyers in the Banking and Finance Practice Group have substantial experience in all aspects of regulatory counseling and representation before the financial institution regulatory agencies, including the Federal Reserve, the Office of the Comptroller of the Currency, the Federal Deposit Insurance Corporation and state banking departments. We have represented numerous institutions in the filing and processing of regulatory applications, including international applications and applications for de novo bank charters, change in bank control and complex bank holding company formations.
International Banking
Our International Banking Practice is diverse, both in terms of clients and the range of legal services provided. We have extensive experience in the representation of foreign banks desiring to establish or expand banking operations within the United States. In this regard, we have represented numerous foreign banks in establishing representative offices, international bank agencies/branches, Edge Act corporations, commercial bank subsidiaries and broker-dealer affiliates in the United States. Through years of experience, our Banking and Finance Practice Group has developed significant expertise in dealing with the numerous issues which invariably arise when a foreign bank decides to expand within the United States.
Broker-Dealers
We advise broker-dealers from the inception of business, assisting through the registration process and with the development, implementation and updating of the internal compliance support systems mandated by industry regulators, including written supervisory procedures, compliance manuals, trade procedures and branch section procedures. We also provide continuing guidance to broker-dealers in all areas of regulatory compliance.
BSA and USA PATRIOT Act Compliance
Our attorneys are frequent lecturers on the USA PATRIOT Act at national anti-money laundering conferences and seminars, and have published nationally on the law and its provisions, including general Bank Secrecy Act compliance. Because of the depth of experience in these critical areas, we are well-suited to provide representation in matters relating to federal and state anti-money laundering and know-your-customer statutes and regulations, as well as in the development and implementation of effective anti-money laundering programs.
Mergers and Acquisitions
We have represented numerous financial institutions in connection with various corporate matters, such as acquisitions, dispositions, mergers, receiverships, re-capitalizations and cross-border M&A transactions. We have particular experience in the representation of foreign banks and individuals seeking to acquire U.S. financial institutions.
Lending
We regularly represent financial institutions and other lenders in connection with the negotiation and preparation of documentation for complex secured and unsecured credit transactions. Transactional matters conducted for major financial institutions include: asset-based lending, loan participations and syndications, derivative swaps, trade financings and numerous other complex domestic and international lending transactions.
Creditors' Rights
We represent financial institutions and other creditors in non-bankruptcy creditors' rights litigation and problem loan workouts. We regularly handle out-of-court workouts and restructurings. Our lawyers often work in conjunction with lawyers from other practice groups in the firm to successfully conclude out-of-court workouts on many complex corporate and banking matters.
Consumer Law
We regularly represent financial institutions in connection with consumer credit disclosures, privacy issues and other consumer compliance matters.
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