Schulte Roth & Zabel LLP

Firm Management: David Efron (Co-Managing Partner), Marc Elovitz (Co-Managing Partner), Stephanie Breslow, Josh Dambacher, Susan Frunzi, Eleazer Klein, Michael Swartz, Julian Wise, Boris Ziser, Richard Piotrowicz (CFO), Brian Schare (COO)

Number of partners: 79

Number of other lawyers: 358

Firm Overview:

As one of the leading law firms serving the financial services industry, Schulte Roth & Zabel LLP serves clients from strategically located offices in New York, Washington, DC and London. SRZ regularly advises on corporate and transactional matters, as well as provides counsel on regulatory, compliance, enforcement and investigative issues. The firm takes a cross-disciplinary approach to client service by employing the expertise of multiple practice groups, and SRZ lawyers are recognized for their ability to develop cutting edge solutions for their clients’ most complex legal and business challenges.

Main Areas of Practice:

Bank Regulatory:

SRZ advises a large and diverse group of financial institutions on chartering issues, legal and regulatory compliance, structuring of new businesses and products, payments practices and technologies, and US and international transactions, including financings, acquisitions and investments.

Broker-Dealer Regulatory & Enforcement:

SRZ provides regulatory and compliance advice to broker- dealers and other financial services firms and handles SEC and SRO examination and enforcement matters. SRZ also assists banks and hedge funds in their dealings with broker-dealers, and acts as regulatory counsel in connection with acquisitions involving broker-dealers.

Business Reorganisation:

SRZ provides critical counsel to domestic, foreign and international secured creditors, unsecured creditors, debtor- in-possession lenders, acquirers, equity holders, plan sponsors and others in Chapter 11 reorganisations and out-of-court workouts.

Employment & Employee Benefits:

SRZ represents clients with respect to the entire employment relationship. With an emphasis on preventing employment disputes, SRZ advises employers on all aspects of labour relations and collective bargaining, benefits law and ERISA, and any necessary representation in litigation or arbitration.

Environmental:

SRZ counsels major institutions and Fortune 500 companies on a wide range of national and international environmental issues. It also advises on preventive methods, and has both the technical knowledge and legal experience necessary to provide the best advocacy.

Finance & Derivatives:

SRZ is a leader in complex financings, structured finance and derivatives. In addition to structuring, drafting and negotiating financing transactions, SRZ assists with regulatory filings and compliance issues. SRZ covers the entire debt stack, including advising on middle-market and large-cap leveraged transactions, representing both traditional and alternative lenders. SRZ advises in debt financing transactions, including lender representations on behalf of banks, commercial finance companies, private investment funds and BDCs, as well as borrower representations on behalf of private equity clients and their portfolio companies or other corporates. SRZ’s clients include investors, lenders, hedge funds, private equity funds and finance companies in all areas of securitization and asset-backed lending, including securitization, senior secured and subordinated loans, revolving credit, warehouse facilities and commercial paper conduits. SRZ has a a particular focus on the securitization and financing of “off-the-run” and esoteric assets.

Individual Client Services:

Representing many of the nation’s wealthiest individuals, SRZ advises on tax planning, succession planning, charitable giving, will contests and family law matters, including mediation of large divorce matters.

Intellectual Property, Sourcing & Technology:

SRZ has expertise in all aspects of intellectual property law, including patents, trademarks, copyrights, unfair competition and trade secrets, portfolio monetisation and information technology licensing, development and outsourcing.

Investment Management:

SRZ is the most sought-after law firm for the world’s leading private investment funds and managers. With a great depth of practice, SRZ provides across-the-board expertise. The firm advises on the formation and operation of a wide array of funds with varying investment strategies, including hedge funds, private equity funds, credit funds, distressed funds, real estate funds, activist funds, hybrid funds, blockchain technology, digital assets and litigation finance, among others.

Litigation:

SRZ’s litigation group has premier capabilities in both complex commercial litigation and the specialised areas of securities enforcement, white collar criminal defence and investigations and prosecutions (AML, OFAC and FCPA matters). Clients benefit from our litigators’ extensive trial experience and proven track record of success in complex civil and criminal matters, as well as its negotiation and dispute resolution expertise.

Mergers & Acquisitions:

SRZ regularly advises on M&A deals worth billions of dol- lars, and has experience working with some of the most talented foreign law firms in the world on cross-border deals. SRZ works on public and private transactions, proxy contests, spin-offs and joint ventures, regularly tackling some of the most complicated deals for many of the world’s largest private equity funds.

Real Estate:

SRZ represents a significant number of participants in the real estate sector. The firm handles a wide variety of complex and sophisticated transactions, including acquisitions, dispositions, joint ventures, development, construction lending, financing, mezzanine lending, workouts, restructurings, REITs and commercial lending.

Regulatory & Compliance:

SRZ is one of only a few law firms with a dedicated regulatory and compliance practice within its private funds practice. SRZ has specialised expertise on issues private fund managers face in setting up, running and growing their businesses. SRZ also provides compliance reviews, training on compliance issues, and assistance in drafting policies and procedures.

Securities & Capital Markets:

SRZ provides transactional and ongoing regulatory and compliance advice for US and non-US participants (issuers, investors, banks) of all sizes and stages, across all major industries, engaging in US and global capital markets transactions, including: SEC registered, Regulation D, Rule 144A and Regulation S offerings.

Shareholder Activism:

As the dominant global law firm for shareholder activism, SRZ assists with all matters relating to activism, including campaign strategies, corporate governance, proxy rules, trading and affiliate rules, Sections 13 and 16 compliance, antitrust regulations, federal and state securities and corporate laws, tax and regulatory issues and litigation.

Tax:

SRZ provides tax planning for mergers, sales and other dispositions, and acquisitions and leveraged buyout arrangements, including analysis of cross-border financing and transfer-pricing issues. The firm’s tax lawyers structure sophisticated financing transactions and advise on special tax issues confronting foreign investors making corporate, portfolio securities and real estate investments in the US. Tax advice is also provided to managers of domestic and foreign hedge, private equity and mutual funds.