Deep experience across all aspects of banking law

Jim Kaplan is a senior banking lawyer with extensive experience in financial services, regulatory matters, and bank and financial services’ mergers and acquisitions ( M&A) and other transactional matters. In addition, he advises clients on complex financings and workouts, compliance, data privacy and cybersecurity, financial services litigation, and shareholder and governance matters. His clients come from most of the major business segments of financial services, including:

• A substantial number of the 25 largest and most diversified U.S. banking institutions
• Wealth management
• Fiduciary
• International finance

Jim is a former general counsel of Brown Brothers Harriman & Co. and associate general counsel of The Northern Trust Company.

Bar Admissions

• Illinois
• New York

Education

• Harvard University (A.B., magna cum laude, 1977)
  • Phi Beta Kappa

• The University of Chicago Law School (J.D., 1981)

• "Cybersecurity: What Your Bank Needs to Know from a Compliance, Regulatory, and Risk Standpoint—Part 2"
• "Dodd-Frank Amendments to Section 23A are Problematic, Part 1"
• "Dodd-Frank Amendments to Section 23A are Problematic, Part 2"
• "Dodd-Frank and Enhanced Regulation of Interest Rate Swaps and Hedges"
• "Expressing Yourself the Best Way in E-mails (and otherwise)"
• "Family Business Succession Planning"
• "Gideon's Promise in Nation's False Confession Capital"
• "ICE Benchmark Administration to Become New LIBOR Administrator"
• "Is Your Company Complying with the SEC’s Safeguards Rule?"
• "No Breach Required: CFPB Conducts First Data Security Enforcement Action"
• "Practical and Ethical Pitfalls: E-Mails, Blogs and Social Media"
• "Proposed Federal Cybersecurity Rules"
• "Review: Bethany McLean, Shaky Ground: The Strange Saga of the U.S. Mortgage Giants”
• "Review: Black Edge: Inside Information, Dirty Money, and the Quest to Bring Down the Most Wanted Man on Wall Street"
• "Review: Danielle Allen, Cuz: The Life and Times of Michael A."
• "Review: Dennis Ross, Doomed to Succeed: The U.S. - Israel Relationship from Truman to Obama"
• "Review: Kurt B. Anderson, Fantasyland: How America Went Haywire"
• "Review: Q&A: Chicago Law Professor Geoffrey Stone Talks About Sex and the Constitution”
• "Review: Q&A: Chicago Law Professor Justin Driver Talks About His Book, The Schoolhouse Gate"
• "Review: Richard Rothstein, The Color of Law: A Forgotten History of How Our Government Segregated America"
• "Review: Steven J. Zipperstein, Pogrom: Kishinev and the Tilt of History"
• "What Covered Financial Entities Need to Know About New York’s New Cybersecurity Regulations"
• 2016 Financial Services Media Roundtable
• Bank On It: Finance News You Can Count On
• Banking Cannabis
• Banks Face Increased Regulatory Scrutiny for Cybersecurity Issues
• CFPB Amends Ability-to-Repay Rule Exemptions for Some Community Banks
• CFPB to Delay TRID Implementation by Two Months
• Checklist for Banks in the Wake of SVB and Signature Bank Failures
• Checklist for Borrowers in the Wake of SVB and Signature Bank Failures
• Coronavirus Stimulus Bill for Businesses Over 500 Employees
• FDIC Issues New Guidance on Brokered Deposits
• Financial Institutions Should Tread Cautiously — Whistleblower Protections Remain Plentiful and Strong
• FinCEN Advises Financial Institutions on Funnel Accounts and Trade-Based Money Laundering Schemes
• ICE Benchmark Administration to Become New LIBOR Administrator
• Key Takeaways for Borrowers and Banks in the Wake of SVB and Signature Bank Failures
• New York Proposes New Cybersecurity Regulations for Financial Institutions
• New York Refines Proposed Cybersecurity Regulations for Financial Institutions
• Proposed Federal Cybersecurity Rules
• Proposed Rules for Incentive-Based Compensation at Financial Institutions
• Reflections on the Ongoing Challenges for Banks and Bank Clients in the Wake of SVB's Failure
• Supreme Court Eases TILA's Rules For Mortgage Rescissions
• With CCPA in Effect, What Does the Financial Industry Need to Know to Comply?
• ​CFPB Makes Modifications to "Know Before You Owe" Mortgage Disclosure Rules
• ​CFPB Proposes Modifications Relating to Small Creditors and Rural and Underserved Areas Under the Truth in Lending Act (Regulation Z)

Seminar

• Business Law Training | Major New Developments for Banks and Corporations in Data Privacy and Security: The Hard Questions and Some Proposed Answers
• Cybersecurity: What Your Bank Needs to Know from a Compliance, Regulatory, and Risk Standpoint—Part 2