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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
Email:
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 Broker-Dealer Regulatory & Enforcement Group. He
advises broker-dealers and alternative trading systems on compliance with
SEC, self-regulatory organization 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 response to examination findings and
enforcement proceedings. He also provides legal counsel to financial
institutions in connection with acquisitions of or investments in brokerdealers, credit facilities collateralized by securities and transactions subject
to Regulation M.

Julian is listed in Chambers USA and The Legal 500 US as a leading financial
services regulatory lawyer. A recognized thought leader, he co-authored
the SRZ Alert “SEC Adopts New Transparency Requirements for NMS Stock
Alternative Trading Systems,” which was republished in Law360. He also
co-authored the SRZ Alert “Cross-Border Implementation of MiFID II
Research Provisions – SEC No-Action Relief to Investment Advisers and
Broker-Dealers and European Commission Guidance” and he was featured
in “Execution Enforcement Actions Escalate,” both published in The Hedge
Fund Journal.

Education

American University, Washington College of Law, JD; Dickinson College, BA


United States: Finance

Financial services regulation

Within: Financial services regulation

Schulte Roth & Zabel LLP provides an 'outstanding level of service' to a myriad of participants seeking regulatory advice in the context of banking, payments and trading matters, in particular. Spearheaded by the 'excellent' Joseph Vitale, the team excels at matters at the intersection of the bank regulatory and asset management spheres, and is noted for its 'excellent work for private equity and hedge funds on their banking investments'. Vitale continues to handle a significant amount of bank investment work for Cerberus Capital Management, including recently advising it (as the lead in a private equity consortium) on the acquisition of German bank, HSH Nordbank. He is also extremely well versed on Volcker Rule issues and recently assisted Credit Suisse with the restructuring of its Systemic Market-Making Group in order to fit within certain exemptions of the rule. Praised for his 'understanding, not only of the law but also the regulators', Donald Mosher leads the firm's efforts on the payments regulatory front, from both a standalone advisory perspective and in relation to M&A in the sector. Mosher has advised Ant Financial on several transactions, including its proposed acquisition of MoneyGram. Julian Rainero and Craig Warkol co-chair the firm's broker-dealer regulatory practice and are key members of the financial services regulatory team, which also includes AML and OFAC expert Betty Santangelo. All named attorneys are based in New York.

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