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A&O Shearman
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Financial Services Regulation: Banking (Compliance)

About

Provided by A&O Shearman

Our financial services regulatory practice

  • A "Global-U.S." financial services practice. Allen & Overy's inherent strength is our ability to advise on cross-border matters. Our FSR practice is based in New York and Washington, D.C. and is supported by U.S.-qualified lawyers in Europe and Asia. FSR issues across the world’s principal financial markets. This allows us to offer a distinctive international U.S. regulatory practice that is unmatched by our competitors.

  • Full service offering. Our FSR team offers advice on a broad range of regulatory topics including: general banking compliance; broker dealer regulation; investment adviser regulation; investment company/fund regulation and 1940 Act status issues; securities regulation; banking enforcement and investigations; M&A; and on the intersection of political law and financial regulatory issues, many of which are at the heart of the financial markets, including at various levels of Dodd-Frank reform. 
  • Access to and experience with regulators. Our attorneys are involved in almost every regulatory initiative and debate concerning regulatory change, globally. In the U.S., our team has deeply entrenched relationships and first-hand experience dealing with U.S. regulatory agencies.

  • The global perspective. One of the key ways in which we differentiate from other U.S. regulatory practices is our ability to bring a global perspective to issues through the strength of our global regulatory network.

Chambers Review

Provided by Chambers

Financial Services Regulation: Banking (Compliance) - USA - Nationwide

5
Band 5

What the Team is Known For

A&O Shearman is noted for its talented group in the broker-dealer space, with a respected practice weighted toward the provision of compliance advice. It combines broker-dealer expertise with specialist knowledge of the banking and asset management spaces to provide clients with a holistic advisory service. Advises on all aspects of US broker-dealer regulation, and noted for its work on cross-border transactional matters. The team is also experienced in handling the full range of Dodd-Frank and Volcker Rule matters in the banking space, as well as anti-money laundering rules and sanctions law. It has a strong international presence ensures that the team is also able to advise on EU, UK and other regulatory systems. It has further experience in advising financial institutions on cryptocurrency regulatory issues.
On 1 May 2024, Allen & Overy and Shearman & Sterling merged to form A&O Shearman.

Work Highlights

Provided by A&O Shearman

  • The firm advised Intercontinental Exchange in its agreement to acquire a FinTech that specializes in mortgage data analytics, Black Knight.

Strengths

Provided by Chambers

"The team members are experts in their fields and show great scope to their individual areas of coverage."

Financial Services Regulation: Banking (Compliance) respondent
USA

"The firm has the breadth to handle complex issues involving multiple statutes and the depth to handle the specific rules and regulations that have been promulgated by the regulatory agencies."

Financial Services Regulation: Banking (Compliance) respondent
USA

"The team bring a high degree of expertise, along with a commercial perspective, to each complex issue presented."

Financial Services Regulation: Banking (Compliance) respondent
USA

"The team have their fingers on the pulse of the markets. They know what's important and, crucially, what will be important in the ever-changing field of bank and dealer regulation."

Financial Services Regulation: Banking (Compliance) respondent
USA

"The firm's financial services regulatory practice is well rounded and keeps the big picture in mind when providing advice."

Financial Services Regulation: Banking (Compliance) respondent
USA

Notable Practitioners

Provided by Chambers

Barbara Stettner
2
Barbara Stettner
2
Band 2
Barbara Stettner impresses with the strength of her broker-dealer advisory practice, which encompasses compliance with directives established under the Dodd-Frank Act.
"Barbara provides highly commercial advice that is easily digestible by colleagues."
"Barbara has outstanding judgement and a good business sense when it comes to achieving goals efficiently and effectively."
"She brings a breadth of knowledge to the table and provides great guidance."
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Adam S Hakki
4
Adam S Hakki
4
Band 4
Adam Hakki is co-chair of the global A&O Shearman board and executive committee. He has impressive experience of handling contentious matters including antitrust class actions. He is regularly involved in advising on investigations by the DOJ, SEC, CFTC and FINRA.
"Adam is absolutely superb. He is amazing at putting clients at ease and exceptional in every sense."
"Adam is brilliant, grounded and wise."
"Adam has excellent judgement, is thoughtful and knows people around ithe industry. He is very thoughtful, practical and efficient."
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Lena Kiely
5
Lena Kiely
5
Band 5
Lena Kiely is noted for her expertise advising clients on a variety of banking compliance and regulatory matters, with proven experience on cross-border matters.
"Her advice combines technical legal expertise and a practical approach grounded in business realities."
"Lena offers very valuable insight on banking and broker-dealer regulatory matters."
"Lena has a deep knowledge of US bank regulation and confidently advises on complex issues."
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Jennifer Morton
U
Jennifer Morton
U
Up and Coming
Jennifer Morton is recognized for her experience counseling registered broker-dealers in a variety of governance and transactional matters.
"Jennifer Morton is an excellent attorney with great knowledge."
"Even in complex situations she is able to provide nuanced and sophisticated advice."
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Ranked Lawyers at
A&O Shearman

Provided by Chambers
Filter by
Band

USA - Nationwide

Financial Services Regulation: Banking (Compliance)
Lena Kiely
5
Lena Kiely
5
Band 5
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Financial Services Regulation: Banking (Enforcement & Investigations)
Adam S Hakki
4
Adam S Hakki
4
Band 4
View Profile
Financial Services Regulation: Broker Dealer (Compliance)
Barbara Stettner
2
Barbara Stettner
2
Band 2
View Profile
Jennifer Morton
U
Jennifer Morton
U
Up and Coming
View Profile

Members

Provided by A&O Shearman

Barbara Stettner

Barbara Stettner

Head of Department

Charles Borden

Marc Ponchione

William White