The regulatory landscape in the financial industry is constantly evolving. Day Pitney lawyers have the knowledge and experience to help financial institutions navigate through the complex maze of regulatory initiatives as they develop. We bring financial institution clients extensive experience not only with the state and federal legal and regulatory frameworks within which they operate, but also with the applicable regulatory bodies and agencies.
Day Pitney lawyers represent financial institutions in a wide array of matters including federal and state regulatory advice, merger and acquisition transactional services, capital raising, securities law reporting, institutional finance and commercial lending, consumer compliance, counseling on litigation matters, and creditors’ rights. Our financial services clients include commercial banks and thrift institutions, holding companies, trust companies, credit unions, mortgage companies and mortgage servicers, automobile lenders, and credit card companies. Our firm also has teams dedicated to national and international broker-dealers, investment advisers and hedge funds. In addition, the firm regularly represents state and local governments, underwriters, borrowers, and corporate trustees in financing transactions.
Our attorneys enjoy and continue to earn a long-standing reputation as go-to attorneys for significant financial institution regulatory and transactional issues. We bring financial institution clients extensive experience, not only with the federal and state legal and regulatory frameworks within which they operate, but also with the applicable regulatory bodies and agencies. Our Financial Services Regulatory practice covers the range of transactional, regulatory and compliance issues that financial institutions confront on a daily basis. Clients include commercial banks, thrift institutions, trust companies, credit unions, holding companies, mortgage companies, mortgage servicers, automobile lenders and credit card companies.
Our lawyers help institutional lenders and investors structure, negotiate, and close financial transactions of many different kinds and virtually all sizes, including private placements, secured and unsecured credit facilities, receivable-backed and other asset-based and structured finance transactions, lease transactions, real estate financings, and project and acquisition financings.
Day Pitney's Compliance Risk Services group assists investment advisers and other organizations in designing and implementing comprehensive compliance programs. Our compliance group provides essential compliance services, including compliance risk assessments and audits, investigations, and compliance control improvements to mitigate compliance risks.
Day Pitney offers a large and diverse state, state agency and local government finance practice, covering all aspects of the public sector. We were the Lead Bond and Disclosure Counsel for the State of Connecticut’s largest bond issue, a $2.2 billion pension obligation bond issue, and have represented local governments in transactions of under $100,000.