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U.S. Financial Regulation Group

Linklaters’ U.S. Financial Regulation Group advises on the full spectrum of regulatory and compliance matters in the U.S. impacting global financial institutions, private equity, hedge and real estate fund managers, broker-dealers and banks.

U.S. FRG product offering diagram

In the U.S., Linklaters’ experienced attorneys provide strong and practical advice on all aspects of the Investment Advisers Act, Investment Company Act, Securities Act and Exchange Act, CFTC regulations, FINRA rules and regulations, ERISA, AML and ABAC compliance, banking regulation, ERISA and CFIUS.

We advise global financial institutions and U.S. investment managers on registration/exemption issues in the U.S. We represent clients in developing, implementing and executing practical compliance programs, including all policies and procedures, and we regularly provide compliance training for our clients and their employees.

The Linklaters’ U.S. Financial Regulation team has extensive experience serving as General Counsel & Chief Compliance Officers of investment managers, counsel to global financial institutions and as senior staff with the U.S. government, including the SEC and DOJ. We have represented numerous clients in SEC examinations and enforcement proceedings.

Our team is committed to helping clients achieve their business objectives while also protecting our clients and helping clients navigate the ever-changing regulatory waters in the U.S.

The U.S. Financial Regulation team works closely with Linklaters' global Financial Regulatory Group (FRG) to serve our clients globally.

Select regulatory and compliance topics

+ Prohibitions on insider trading

+ Information barriers

+ Code of ethics and personal trading

+ Trading rules in the U.S. 

+ Advertising rules

+ Allocation of expenses

+ Allocation of investments

+ Anti-money laundering and OFAC 

+ Business continuity plans

+ Conflicts of interest 

+ Confidentiality and privacy

+ Custody and valuation 

+ Environment, social and governance (ESG) 

+ Private placement rules

U.S. Financial Regulation Group: Update on Recent Developments

Explore our U.S. Financial Regulation Group's latest update covering the most critical regulatory developments impacting global financial institutions, private equity, hedge and real estate fund managers, broker-dealers, banks, and more.

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Other Regulatory Team Members

Read our regulatory insights


Final Rule — Private Fund Advisers and Documentation of Annual Compliance Review

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U.S. Regulatory Update October 2023

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U.S. Regulatory Update March 2023

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U.S. Regulatory Update September 2022

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U.S. Regulatory Update: March 2022

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U.S. Regulatory Update: December 2021

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client alert CKP(1)

SEC issues additional LIBOR guidance for market participants

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Cyber attack

US - The SEC makes its mark on cyber

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U.S. Regulatory Update: August 2021

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SEC Marketing Rule

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SEC requires Chinese companies seeking U.S. listing to make additional disclosures

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Shareholder Rights Directive II

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