Our team has a uniquely deep knowledge of legal, regulatory and operational issues relating to custody, clearing, settlement and payments systems. Leveraging experience with multiple global financial regulators and financial institutions, CM Law PLLC helps clients find practical solutions to cross-border legal and regulatory issues involving post-trade services, including issues arising from conflicts of laws and divergent regulatory requirements for global service offerings. We advise well-known financial institutions, including global securities depositories and other market infrastructures, as well as companies seeking to bring cutting edge technologies to make custody, settlement and payments more efficient and cost-effective.

Our working knowledge of regulators in multiple jurisdictions helps our clients work more effectively within complex regulatory systems, leading our clients to obtain ground-breaking regulatory authorizations to provide new post-trade services. This can be particularly valuable for fintech innovators who are seeking to transform traditional custody, settlement, payments and other back-office functions while navigating traditional legal and regulatory structures that can be slow to evolve with market needs. We can help clients understand and assess regulatory options, develop and implement effective and timely regulatory and legislative strategies and design successful regulatory compliance programs (including compliance with applicable federal and state banking and securities regulatory obligations, Dodd-Frank, FinCen, BSA, OFAC, privacy and cyber-security requirements).

In addition to regulatory advice, our services include assistance in drafting and negotiating service agreements for custody, payment, settlement and related services (including collateral management and securities lending), assessing asset protection regimes, meeting customer asset protection requirements, accessing central bank settlement and payment services, and other transactional needs of financial institutions providing custody, settlement and payment services.