Katherine Mooney Carroll is a partner based in the Washington, D.C. office.
Ms. Carroll’s practice focuses on U.S. bank regulatory matters, including the implementation of U.S. regulatory reforms pursuant to the Dodd-Frank Act, regulatory aspects of bank mergers and acquisitions, investments by and in banking organizations, and compliance with U.S. sanctions and anti-money laundering laws. Ms. Carroll has extensive experience advising major U.S. and non-U.S. banking organizations on the Volcker Rule, heightened prudential requirements and the development of U.S. resolution plans or “living wills”. Ms. Carroll also advises financial institutions in investigations and enforcement matters involving U.S. federal banking agencies, the Office of Foreign Assets Control, and U.S. congressional committees.
Ms. Carroll is recognized as a leading financial services regulation lawyer and “rising star” by Chambers USA
. In 2013, Ms. Carroll received the "Finance Up and Coming Lawyer of the Year" award at the Chambers USA Women in Law Awards.
Ms. Carroll’s recent regulatory and transactional experience includes advising:
- The Institute of International Bankers and its internationally headquartered member banks on Dodd-Frank reforms, including the Volcker Rule, resolution planning requirements, heightened prudential requirements, swaps “push-out” and other issues;
- Multiple U.S. and non-U.S. banks on preparation of U.S. resolution plans;
- Oriental Financial Group on its $500 million acquisition of BBVA’s Puerto Rico operations and on two related capital markets offerings;
- Credit Suisse in the establishment of an asset management firm in Brazil;
- Deutsche Bank Securities on the regulatory aspects of a registered public offering by the U.S. Department of the Treasury to sell its warrant position in Zions Bancorporation; also regulatory counsel to Deutsche Bank and Goldman Sachs in the 171.8 million non-cumulative perpetual stock auction by Zions Bancorporation;
- Major financial institutions in connection with their spin-offs of private equity funds and/or their managers and sales of fund interests;
- OneWest Bank in its debit card joint venture with June Bug Enterprises, Inc., an entity affiliated with Earvin "Magic" Johnson; and
- SJB National Bank and its principals in the creation of a national bank “shelf charter” to facilitate U.S. acquisition transactions.
Ms. Carroll is a frequent speaker on U.S. regulatory reform and other bank regulatory issues, including at recent conferences hosted by the Institute of International Bankers, the American Bar Association and International Bar Association and the DC Bar.
Ms. Carroll joined the firm in 2001 and became partner in 2012. She worked in the firm’s Hong Kong and New York offices before moving to the Washington office in 2003. Ms. Carroll received a J.D. degree from Yale Law School in 2001 and an A.B. degree, magna cum laude
, from Harvard College in 1992.
Prior to studying law, Ms. Carroll worked as the Executive Director of the Open Society Institute in Uzbekistan and as the Special Assistant to the Assistant Secretary of Defense for International Security Policy at the U.S. Department of Defense.
Ms. Carroll is a member of the Bars in the District of Columbia and New York.