Financial Services

Holland & Knight represents the full range of interests and clients that comprise the financial services industry. We understand that your business demands legal experience that is both broad based and precisely targeted to your industry niche.

Our clients' interests are spread across the scope of the U.S. and international financial marketplace, demanding the collective talent and insights our firm is quick to deploy. As an international law firm - with a multidisciplinary approach to client support - we offer unparalleled service and accessibility.

Representing the Diverse Interests of a Full Range of Clients

In representing our bank and financial institution clients, we can provide comprehensive, informed support for:

• banking regulatory work - filing and processing applications before the Federal Reserve, Officer of the Comptroller of the Currency, FDIC and state banking departments with respect to federal banking law
• foreign banks expanding into the U.S. - including establishing representative offices, Edge Act corporations, commercial bank subsidiaries and more, and advising on international banking law
• negotiation and documentation of secured and unsecured commercial credit transactions - asset-based lending, loan participations and syndications, derivative swaps, and numerous other complex domestic and international lending transactions
• common and collective trust fund management - including ongoing compliance with the federal tax, securities, pension, and banking laws
• domestic and international securities offerings and underwriting as well as securitization of financial assets
• equipment financing and leasing transactions
• public finance work including management of bond-related matters and the structuring, negotiating and documenting of derivative products
• risk identification and allocation aspects of numerous types of projects involving publicly funded undertakings, as well as those undergoing privatization

Integral to representing financial services clientele is an appreciation for the finance opportunities available through key industries. Holland & Knight's broad-based practice renders the firm and our banking law attorneys particularly adept in this area.

Dispute Resolution and Litigation Matters

When legal disputes do arise, Holland & Knight is a trusted partner known for being responsive to clients and employing creative and aggressive litigation strategies. Highlights in this area include:

• defending investigations and enforcement actions dealing with virtually every SEC enforcement issue
• conducting and handling Department of Justice investigations
• litigating on behalf of brokerage firms, mutual fund companies, and other financial institutions involving a variety of securities
• advising through complex antitrust, RICO and consumer fraud investigations and litigation

Compliance Protection from Inception of Your Business Through Ongoing Operation

Acknowledged as one of the first firms to organize a national practice dedicated to corporate governance issues, we work with both public and private companies in all aspects of SOX compliance. We help establish or refine programs, including those that address white collar crime and fraud.