United States • Finance
5

Financial services regulation

A&O Shearman

Nous ne pouvons afficher que des informations limitées pour ce cabinet. Nous affichons des informations plus complètes pour les cabinets suivants :

Dentons logo
Dentons
Husch Blackwell LLP logo
Husch Blackwell LLP
Greenberg Traurig LLP logo
Greenberg Traurig LLP
A&O Shearman provides comprehensive regulatory advice to banks and broker-dealers, assisting them with a broad range of matters, including licensing, capital requirements, regulatory investigations, and anti-money laundering (AML) compliance. The firm’s financial services regulatory practice is led by Barbara Stettner, who is based in Washington DC while the banks regulatory practice in New York is headed by Lena Kiely. The team regularly advises clients on compliance with SEC and FINRA regulations, offering guidance on various regulatory frameworks affecting financial institutions. Jennifer Morton is a key contact within the practice, frequently advising banks, investment firms, and broker-dealers on issues related to net capital requirements, trade reporting obligations, and corporate financing rules. Based in New York, Taylor Pugliese is recognised for her in-depth knowledge of broker-dealer regulations, as well as the cross-border requirements that impact financial institutions.
L’éditorial du Legal 500

Témoignages

Collectés indépendamment par l'équipe de recherche du Legal 500.

  • ‘With the addition of Lena Kiely, the Bank Regulatory team at A&O Shearman is now a trusted firm to turn to for Bank Regulatory advice. ’

  • ‘Lena Kiely is a strong technical expert in banking regulation, but what really makes her a valuable adviser is that she draws on her in-house experience to also take into account the practical implications of the advice and thinks about what the client will need to do, and any related hurdles that will need to be overcome, to implement the advice internally. She also thinks about any related internal risk governance and controls implications, so that beyond simply providing an answer to a legal question, she helps highlight internal governance considerations that often are just as important.’

Clients clés

  • Bank of America
  • JPMorgan Chase

Points forts

  • Advising large commercial banks (JPMorgan, Citibank, etc.) on numerous bank regulatory issues related to their private banking activities, equity investments and fintech investments.
  • Advised Société Générale in its joint venture with AllianceBernstein that combined their cash equities and equity research businesses globally.