A&O Shearman

Financial Services Regulatory

Partner

Barbara is a Partner at A&O Shearman and she focuses on advising U.S. and foreign financial institutions on their regulatory and compliance obligations under the Securities Exchange Act of 1934, the Investment Advisers Act of 1940 and the Bank Secrecy Act. Barbara represents foreign and domestic banks, asset managers, private funds, insurance companies and broker-dealers on the various regulatory aspects of their domestic and cross-border securities activities. Barbara also focuses on the regulatory obligations of domestic and cross-border fund raising activities including broker-dealer, finder and placement agent status questions, sales practice requirements and the federal and state pay-to-play regulations.