Schulte Roth & Zabel LLP’s New York-based regulatory specialists provide comprehensive counsel on banking and broker-dealer matters, particularly for private investment funds. The team, led by Marc Elovitz and Kelly Koscuiszka, is recognised for its strength in advising hedge, private equity, and venture capital fund managers on SEC investigations, compliance procedures, and the evolving regulatory landscape surrounding generative AI. In the broker-dealer space, co-chairs Julian Rainero and Craig Warkol oversee the firm’s work on compliance, enforcement, and regulatory matters, representing prime brokers, market makers, and electronic agency brokers. The team advises on issues such as electronic trading, institutional sales, net capital and custody requirements, and securities financing, alongside enforcement defence in cases involving FINRA and digital asset technology.
L’éditorial du Legal 500
- Profil
Clients clés
- Clear Street LLC
- Dash Financial Technologies LLC
- Fidelity/National Financial Services LLC
- Industrial and Commercial Bank of China Financial
- Instinet, LLC/Nomura Group
- Interactive Brokers LLC
- LeveL ATS
- Pragma LLC
- MarketAxess Corporation
- Trumid Financial LLC
Points forts
- Advising Industrial and Commercial Bank of China (“ICBC”), the largest bank in China, and the world’s largest bank by total assets, on multiple matters, including on a range of U.S. broker-dealer compliance work.
- Advising Interactive Brokers on an extensive range of compliance and enforcement matters, from net capital, customer reserve and segregation requirements to margin lending and securities lending.
Avocats
Les grands avocats du marché
Avocats associés reconnus parmi les leaders du marché par leurs pairs et leurs clients, régulièrement présents dans les grands dossiers dans lesquels ils sont au premier plan.
Responsable de la pratique
Julian Rainero; Craig Warkol; Marc Elovitz; Kelly Koscuiszki