Financial Services

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The complex and highly regulated financial services industry encompasses a broad range of activities, including banking, insurance, securities trading, investment management, and other financial services. Financial services companies provide essential services facilitating economic growth and development, thus playing a critical role in the global economy.

The complex laws and regulations linked to financial services industry are designed to protect consumers, promote market stability, and prevent financial crime. These regulations cover a range of issues, including securities regulation, banking law, consumer protection, and anti-money laundering.

Oppenheim helps financial services companies by providing legal advice and representation on various issues, including:

  • Regulatory Compliance
  • Contracts and Transactions
  • Litigation
  • Mergers and Acquisitions
  • Intellectual Property
  • Employment Law
  • Cybersecurity and Data Privacy
Financial services companies must comply with complex and evolving laws and regulations to ensure the safety and soundness of their operations. Oppenheim provides guidance and advice on regulatory compliance, as well as representation in regulatory proceedings and enforcement actions.
Financial services companies frequently engage in complex contracts and transactions with clients, counterparties, and service providers. Oppenheim assists with the negotiation, drafting, and review of these contracts, as well as provides representation in any possible disputes arising from these agreements.
Financial services companies may face legal disputes, including those related to securities fraud, breach of contract, and employment law. Oppenheim provides representation to resolve disputes effectively and efficiently.
The financial services industry is subject to frequent consolidation, and companies may engage in mergers, acquisitions, and other transactions to achieve strategic objectives. Oppenheim assists with the legal aspects of these transactions, including due diligence, regulatory compliance, and transaction documentation.
The intellectual property laws affecting the financial services indutry protect trademarks, trade secrets and patents. Oppenheim provides the necessary legal advice on intellectual property, and assists with the registration and enforcement of IP rights.
Financial services companies are large employers that have to comply with employment laws, including wages, hours, and working conditions regulations. Oppenheim provides legal advice and representation on these issues, as well as with employment law disputes.
Financial services companies are increasingly reliant on technology and must protect their customers' sensitive data from cyber threats. Oppenheim provides cybersecurity and data privacy guidance and advice, as well as with regulatory compliance and data breach response.

Oppenheim aids financial services companies navigate the complex legal landscape so they can successfully achieve their business objectives. By providing guidance and representation on a variety of legal issues, Oppenheim helps financial services companies succeed in a highly competitive and rapidly changing marketplace.

As an example of our engagement in high-profile financial regulatory matters, we have been involved as issuer’s counsel in a high-value corporate bond issuance and the subsequent listing of such bonds for a Hungarian trading venue. We also advised a major Hungarian credit institution in a fintech product development project and its financial regulatory aspects.

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