With financial market regulators around the world increasingly cooperating on global enforcement, businesses need a global law firm with experienced lawyers who understand worldwide markets. As the largest law firm in the world, Dentons meets that need. Our Financial Markets Litigation and Regulation group—described as a "powerhouse" by more than 300 general counsel polled by BTI Consulting Group—advises registrants, financial institutions and other trading participants when enforcement issues arise and in connection with related civil, class action, regulatory and criminal litigation.

Our lawyers, many of whom are former regulators or prosecutors, have decades of experience representing a wide range of clients, including brokers, traders, exchanges, banks, hedge funds, registered investment advisors, commodity pool operators, commodity trading advisors, trusts, life insurers, pension funds, private wealth clients, and public companies and their employees, officers and directors.

These entities and many others regularly trust Dentons to represent them in class actions, regulatory proceedings, administrative proceedings, criminal investigations and prosecutions covering every imaginable market-related issue, including:

• Violations of securities and derivatives laws and regulations
• Securities, commodities and related antitrust benchmark class actions
• Shareholder derivative cases
• Insider trading
• Market manipulationShort selling
• Spoofing
• Swaps
• High-frequency trading
• Wash trading
• Registration violations
• Net capital issues
• Disclosure violations
• Customer protection issues
• Cybersecurity
• Crypto currencies 
• Anti-money laundering and trading system protocols
• Violations of financial accounting, reporting, underwriting and trading rules, including falsification of corporate records, excessive trading, illegal market timing, abusive or fraudulent sales of variable annuities or auction-rate securities
• Clearing and settlement standards
• Proxy and tender offer contests
• US Foreign Corrupt Practices Act/UK Bribery Act and related anti-bribery laws
• Pyramid schemes and related affinity frauds

Combining experience in market operations, market structure and market regulation, Dentons manages any circumstance, in any jurisdiction. And our global presence positions us to handle enforcement actions involving financial instruments traded on exchanges worldwide.

In addition to appearing in courts throughout the world, our lawyers also regularly appear before national and international regulators, including:

• Accounting and Corporate Regulatory Authority (ACRA)
• Australian Prudential Regulation Authority (APRA)
• Australian Securities and Investment Commission (ASIC)
• Autorité des marchés financiers (AMF)
• Chicago Board of Trade (CBOT)
• Chicago Board Options Exchange (CBOE)
• Chicago Mercantile Exchange (CME)
• Commodity Futures Trading Commission (CFTC)
• Financial Industry Regulatory Authority (FINRA)
• Financial Services Commission of Ontario (FSCO)
• Frankfurt Stock Exchange (FWB)
• German Federal Financial Supervisory Authority (BaFin)
• International Commodities Exchange (ICE)
• Investment Industry Regulatory Organization of Canada (IIROC)
• Monetary Authority of Singapore (MAS)
• National Futures Association (NFA)
• New York Mercantile Exchange (NYMEX)
• Ontario Securities Commission (OSC)
• Singapore Exchange Limited (SGX)
• UK Financial Conduct Authority (FCA)
• UK Prudential Regulation Authority (PRA)
• US Department of Justice (DOJ)
• US Securities and Exchange Commission (SEC)

Insights

Global Financial Markets Regulatory Review - February 2025 Edition

February 2025

Global: Dentons is pleased to present the February 2025 edition of the Global Financial Markets Regulatory Review. The report combines insights from Dentons lawyers with extensive financial markets experience located in major global financial centers. The reports for each country include links to further information and contact information for Dentons professionals.

Is It 2017 All Over Again?

February 18, 2025

A reprise of the Trump administration will likely bring a return to the US Securities and Exchange Commission’s (“SEC”) enforcement emphasis on combatting retail investor fraud.

Global Financial Markets Regulatory Review - September 2024 Edition

September 2024

Global: Dentons is pleased to present the September 2024 edition of the Global Financial Markets Regulatory Review. The report combines insights from Dentons lawyers with extensive financial markets experience located in major global financial centers. The reports for each country include links to further information and contact information for Dentons professionals.

View all insights for Financial Markets Litigation and Regulation

News and Events

Recent Press Releases

Dentons welcomes Christopher Brennan and Henrietta Baker to the Middle East

February 1, 2023

Dentons, the world's largest global law firm, has strengthened both its Investigations and Regulatory practice and its Technology, Media and Telecoms (TMT) practice in the Middle East with the relocation of London-based partners, Christopher Brennan and Henrietta Baker, to Dubai.