A&O Shearman

Financial Services Regulatory

Partner

At A&O Shearman, Susan Gault-Brown is a partner in the Funds practice.

For more than 20 years, Susan has been a trusted adviser to clients in the investment management industry, with a focus on private fund advisers both inside and outside of the United States, as well as other regulated financial participants and clients seeking to operate within exemptions from U.S. regulation.

A highly regarded leader in the asset management field, Susan regularly counsels clients with respect to U.S. Securities and Exchange Commission (SEC) and U.S. Commodity Futures Trading Commission (CFTC) registration, required disclosures, compliance programs, structuring of new products and operations, complex regulatory matters, relief such as no-action letters and exemptive orders, SEC and CFTC/National Futures Association examinations, and regulatory advice in connection with acquisitions and similar transactions. Susan also advises on investment company status determinations, working with clients across diverse industries, including renewable energy and technology, among others.

Prior to private practice, Susan was senior counsel at the SEC’s Division of Investment Management’s Office of Chief Counsel, providing guidance on a broad array of issues under the U.S. Investment Advisers Act of 1940 and U.S. Investment Company Act of 1940. Early in her career, she served as a judicial clerk to Judge Constance Baker Motley in the U.S. District Court for the Southern District of New York.