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Advising both banks and broker-dealers on the spectrum of regulatory issues, A&O Shearman is well-placed to assist with broker-dealer licensing and matters concerning capital requirements, regulatory investigations and AML measures. Jennifer Morton takes the lead on both regulatory and compliance matters, with banks, investment firms and broker-dealers coming to her for advice on SEC and FINRA regulations tied to net capital, trade reporting and corporate financing rules. Taylor Pugliese is noted for her specialization in broker-dealer regulations and cross-border requirements that apply to a variety of financial institutions. All lawyers mentioned are New York-based.
Legal 500 Editorial commentary
Testimonials
Collated independently by Legal 500 research team.
- 'The team is being augmented via its merger with A&O and will be exceptionally strong. The knowledgebase to assist all manner of corporate transactions (credit, M&A, securities issuance and underwriting and private equity, as well as core regulatory expertise) is all there.'
- 'My experience with Shearman's team is that they are knowledgeable and responsible.'
Key clients
- Bank of America
- Mizuho Financial Group
Work highlights
- Represented Société Générale in connection with its business combination with AllianceBernstein that would combine their cash equities and equity research businesses.
- Represented Mubadala Investment Company PJSC in its acquisition of Fortress Investment Group from SoftBank Group Corp.