Taylor Pugliese > Shearman & Sterling LLP > New York, United States > Lawyer Profile

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.