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.
Testimonials
Collated independently by Legal 500 research team.
- 'The team is being augmented via its merger with A&O and will be exceptionally strong. The knowledgebase to assist all manner of corporate transactions (credit, M&A, securities issuance and underwriting and private equity, as well as core regulatory expertise) is all there.'
- 'My experience with Shearman's team is that they are knowledgeable and responsible.'
- 'Jennifer Morton is an excellent broker dealer regulatory lawyer.'
- 'We work with Shearman & Sterling in relation to our presence in the US, including a registered investment advisor and a broker-dealer. They understand our structure and the different products provided. Additionally, they're instrumental in helping our products offering to offshore clients.'
- 'Jennifer Morton has extensive experience in the different aspects of our US presence.'
Key clients
- Bank of America
- Mizuho Financial Group
- Itaú Unibanco
- Banco Bradesco
- Development Bank of Japan
- Société Générale S.A.
- Bank of Nova Scotia
- Intercontinental Exchange
- Citigroup Inc.
- Landesbank Baden-Württemberg
- Rabobank
- BNP Paribas
- Barclays
- The Toronto-Dominion Bank
- Plaid
- JPMorgan Chase
- Sumitomo Mitsui Banking Corporation
- SAP SE
- Morgan Stanley
- Wells Fargo
Work highlights
- Represented Société Générale in connection with its business combination with AllianceBernstein that would combine their cash equities and equity research businesses.
- Represented Mubadala Investment Company PJSC in its acquisition of Fortress Investment Group from SoftBank Group Corp.
- Represented Gemini Galactic Markets, LLC in connection with its registration as a broker-dealer with the SEC and FINRA membership.
Practice head
The lawyer(s) leading their teams.
Jennifer Morton