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A&O Shearman
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Financial Services Regulation: Broker Dealer (Compliance & Enforcement)

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: Broker Dealer (Compliance & Enforcement) - USA - Nationwide

3
Band 3

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.

Work Highlights

  • A&O Shearman represented Danske Bank in investigations by DOJ, the SEC, Danish and French criminal authorities, arising from its former Estonian branch, resulting in a $2 billion global settlement.

Strengths

Provided by Chambers

A&O is a great firm to use for bank regulatory questions, especially those with an international component.

Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondent
USA

The team provide clear, practical advice and they get us results.

Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondent
USA

A&O has great technical knowledge that is balanced with good commercial sense.

Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondent
USA

Notable Practitioners

Provided by Chambers

Hilary Sunghee Seo
3
Hilary Sunghee Seo
3
Band 3

Hilary Sunghee Seo is noted for her regulatory advisory work on M&A transactions for clients in the asset management and private wealth space.

We are thankful to have such a valuable resource in Hilary.

Hilary excels at both providing legal advice and client service.

She is consistently delivering reliable and actionable advice.

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Adam S Hakki
4
Adam S Hakki
4
Band 4

Adam Hakki is the US chair and 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.

He has an encyclopedic knowledge of the current state of the law across all legal services.

Adam is an extremely thoughtful and strategic legal adviser with deep experience and excellent judgment.

Adam is exceptional. He is a great strategist and always provides excellent outcomes.

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Katherine Stoller
4
Katherine Stoller
4
Band 4

Katherine Stoller is the US head of investigations and white‑collar at the firm. She leads cross‑border litigation, enforcement matters and conducts internal investigations into breaches of economic sanctions, money laundering, AML/BSA violations and financial fraud.

She is the right mix of knowing the facts but being able to keep a big-picture strategy.

Katherine has a good view of everything and provides pragmatic advice.

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Lena Kiely
4
Lena Kiely
4
Band 4

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.

Lena is judicious and practical.

Lena is a trusted adviser.

She draws on her in‑house experience to blend technical advice with practical implementation.

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Ranked Lawyers at
A&O Shearman

Provided by Chambers
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Band

USA - Nationwide

Financial Services Regulation: Banking (Compliance)
Lena Kiely
4
Lena Kiely
4
Band 4
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Financial Services Regulation: Banking (Enforcement & Investigations)
Adam S Hakki
4
Adam S Hakki
4
Band 4
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Katherine Stoller
4
Katherine Stoller
4
Band 4
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Financial Services Regulation: Broker Dealer (Compliance)
Hilary Sunghee Seo
3
Hilary Sunghee Seo
3
Band 3
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Members

Provided by A&O Shearman

Barbara Stettner

Barbara Stettner

Head of Department

Charles Borden

Marc Ponchione

William White