ALA Banking and Finance Group has a comprehensive financial services practice that is distinguished by the strength and diversity of our lawyers. We counsel domestic and foreign financial institutions, broker-dealers, investment advisors, money services businesses and other financial service providers. Through our 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. We have represented institutions in the filing and processing of regulatory applications, including international applications.

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.

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.

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, trade financings and numerous other complex domestic and international lending transactions.