North America - United States • Finance
Schulte Roth & Zabel LLP
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Schulte Roth & Zabel LLP‘s New York-based regulatory specialists are adept at tackling issues pertaining to a range of private funds, advising hedge, private equity and VC fund managers on SEC investigations and internal compliance procedures, and with an increasing focus on the matters straddling the boundary between fund regulations and generative AI. The practice is also noted for its work in the broker-dealer sector, where it focuses on Dodd-Frank and Volcker Rule compliance in addition to liaising with FINRA and the SEC, including regarding the proposed Consolidated Audit Trail program. Craig Warkol and Julian Rainero specialize in broker-dealer regulatory enforcement matters, including those tied to securities trading. Co-managing partner Marc Elovitz and Kelly Koscuiszka guide fund managers through the Investment Advisers Act of 1940, with the former also assisting with digital asset trading and blockchain issues. Banking regulatory issues are the primary focus of Donald Mosher’s practice, which encompasses the licensing of money transmitters and payment processors.
Legal 500 Editorial commentary
Key clients
- AB CarVal Investors LP
- Anchorage Capital Group, L.L.C.
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Work highlights
- Advised Portfolio Advisors as special regulatory counsel in a definitive agreement to combine with FS Investments.
- Represented Nexo Capital Inc. in the resolution of parallel investigations brought by the SEC, CFPB, and numerous state regulatory agencies related to the company’s offering of an interest-earning product.
Abbreviated data is displayed for this firm.