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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, 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.

Career

Partner, Schulte Roth & Zabel LLP since 2016 and Co-Chair of Broker-Dealer Regulatory & Enforcement Group.

Education

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


United States: Finance

Financial services regulation

Within: Financial services regulation

Now benefiting from considerably enhanced bandwidth following the arrival in March 2016 of broker-dealer regulatory practitioners Julian Rainero and Craig Warkol from Bracewell LLP, Schulte Roth & Zabel LLP’s New York-based team provides ‘accurate and highly practical “real world” perspectives and business-oriented advice’ to a mix of banks, asset managers and broker-dealers. Praised for his ‘excellent industry knowledge’, Rainero is frequently involved in many of the most closely scrutinized trading issues, including those related to high-frequency trading firms and dark pool operators. The ‘very talentedJoseph Vitale provides ‘timely, thorough and effective’ advice on bank regulatory matters and is best known for regulatory advice on matters at the nexus of the funds and banking industries. Praised for his ‘business acumen’, Vitale has been particularly active representing foreign banks as they seek to navigate US regulatory rules, and is advising Credit Suisse on compliance with the Bank Holding Company Act, including the restructuring and reorganizing of its Systematic Market-Making group in order to fit within certain exemptions pursuant to the Volcker Rule’s restrictions on proprietary trading. Vitale continues to represent Cerberus in its investments in regulated financial institutions, including advising it on the acquisition of NRAM plc from UK Asset Resolution. The team also includes Donald Mosher, noted for payments matters, and Betty Santangelo, who excels at AML issues.

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