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Schulte Roth & Zabel LLP

919 THIRD AVENUE, NEW YORK, NY 10022, USA
Tel:
Work +1 212 756 2000
Fax:
Fax +1 212 593 5955
Web:
www.srz.com
London, New York, Washington DC

Julian Rainero

Tel:
Work +1 212.756.2411
Email:
Schulte Roth & Zabel LLP

Work Department

Broker-Dealer Regulatory & Enforcement, Hedge Funds, Investment Management, Regulatory & Compliance

Position

Julian Rainero is co-chair of the firm’s Broker-Dealer Regulatory & Enforcement Group. He advises broker-dealers and alternative trading systems on compliance with SEC, self-regulatory organization (SRO) and Federal Reserve Board rules. His practice involves all aspects of broker-dealer regulation, with a focus on cash equities trading practices, alternative trading systems, net capital, customer asset segregation, prime brokerage, correspondent clearing, and margin and securities lending. Julian represents many of the leading electronic market makers and alternative trading systems and serves on the best-execution committees of several major broker-dealers.

In addition to regularly advising broker-dealers on regulatory compliance and best practices, Julian represents clients in responses to examination findings and enforcement proceedings. He also provides legal counsel to financial institutions in connection with acquisitions of or investments in broker-dealers, credit facilities collateralized by securities and transactions subject to Regulation M.

Education

American University, Washington College of Law, J.D.; Dickinson College, B.A.


United States: Finance

Financial services regulation

Within: Financial services regulation

Spearheaded on the bank regulatory front by Joseph Vitale, Schulte Roth & Zabel LLP is particularly accomplished at handling regulatory work at the intersection of the funds and banking industries. Noted for his Volcker Rule expertise, Vitale ‘combines an outstanding depth of knowledge with a keen ability to deliver business-ready solutions’, and has provided the regulatory input to private equity sponsor Cerberus on numerous investments it has made into regulated financial institutions, including its recent acquisition of GE Money Bank from General Electric Corp. Vitale also regularly advises international banks on regulatory issues impacting their US activities, as well as on the application of US regulatory law to non-US activities. Julian Rainero has ‘deep expertise at handling detailed trading issues’ and co-heads the firm’s broker-dealer practice alongside Craig Warkol. Donald Mosher is recommended for his payments-related regulatory work, both from a standalone advisory perspective as well as in relation to M&A activity, as demonstrated by his recent advice for Cambridge Mercantile on its $690m acquisition by FleetCor Technologies. Betty Santangelo has a focus on AML-related matters.

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