Overview
Katten's Financial Markets and Funds practice spans the full breadth of this dynamic and ever-evolving industry — from global investment banks to a wide range of investment managers, hedge funds, and private equity and other alternative funds to proprietary trading firms, global exchanges and trading platforms. While our clients are diverse, our focus is singular: providing customized, pragmatic legal advice that helps your business grow and prosper.
Firsthand business and regulatory experience
A long-established leader in the financial services industry, Katten brings deep knowledge and practical, real-world experience in securities, futures, derivatives, funds and alternative investment management. Our counsel is informed by the team's collective experience as former regulators, including attorneys who have held senior positions within the Securities and Exchange Commission, the Financial Industry Regulatory Authority, the Commodity Futures Trading Commission and the Department of Justice, as well as senior in-house counsel and business advisors at global investment banks. Clients call on us to provide insight and advice on complicated, evolving US and international regulations, including the myriad of new regulations in the United States in addition to key EU initiatives such as the Market Abuse Regulation, the Markets in Financial Instruments Directive II and the developments surrounding Brexit.
Our team includes some of the most active, experienced litigation and regulatory enforcement attorneys, who understand the structure, risk and regulatory context of the full range of financial products that our clients trade, as well as the trading platforms, clearinghouses and traditional over-the-counter dealer-to-dealer markets they participate in. This breadth of experience, combined with our depth of knowledge gained by working with industry participants for decades, allows us to develop comprehensive, commercially practical solutions for our clients and to recognize and resolve issues before they become problems. Clients recognize the value this experience provides, noting that Katten has "true professionals who see the big picture, provide options that are practical and bring in others when necessary. (And only when necessary). I have complete trust in their judgements" (The Legal 500 United States, 2022).
Integrated transactional and regulatory approach
Our practice was built to meet our clients' demands for a one-stop resource for navigating the full scope of issues facing their businesses, including corporate and transactional, regulatory and compliance, litigation and enforcement, tax, technology and intellectual property, and employment, among others. Drawing on the firm's interdisciplinary resources, we analyze complex market and legal issues, and we close transactions and navigate regulatory issues quickly and comprehensively. A distinguishing characteristic of our group is the integration of attorneys whose interdisciplinary experience is almost exclusively on behalf of market participants, giving us a real understanding of the financial markets. We make it our priority to understand every detail of your business and your objectives so we can assemble the right team and provide targeted, proactive and business-savvy counsel.
Seamless cross-border counsel
Our London, Shanghai and US offices work closely to provide seamless transactional and regulatory cross-border advice to domestic and international clients. We provide creative, strategic representation that responds to the different markets and regulatory and tax regimes. As a result, we have become trusted legal advisors to financial market participants and exchanges around the world.
"The team prides itself on client focus and advocacy. They also have business sophistication and legal expertise."
Chambers USA 2022
(USA Nationwide, Hedge Funds) survey response
Experience
Insights
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Publication | November 22, 2024
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Publication | November 2024
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News | November 21, 2024
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Event | November 13, 2024
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Publication | November 12, 2024