Lena Kiely > A&O Shearman > New York, United States > Lawyer Profile

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.