Schulte Roth & Zabel LLP’s New York-based regulatory specialists provide comprehensive counsel on banking and broker-dealer matters, particularly for private investment funds. The team, led by Marc Elovitz and Kelly Koscuiszka, is recognised for its strength in advising hedge, private equity, and venture capital fund managers on SEC investigations, compliance procedures, and the evolving regulatory landscape surrounding generative AI. In the broker-dealer space, co-chairs Julian Rainero and Craig Warkol oversee the firm’s work on compliance, enforcement, and regulatory matters, representing prime brokers, market makers, and electronic agency brokers. The team advises on issues such as electronic trading, institutional sales, net capital and custody requirements, and securities financing, alongside enforcement defence in cases involving FINRA and digital asset technology.
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- Profil
Kernmandanten
- Clear Street LLC
- Dash Financial Technologies LLC
- Fidelity/National Financial Services LLC
- Industrial and Commercial Bank of China Financial
- Instinet, LLC/Nomura Group
- Interactive Brokers LLC
- LeveL ATS
- Pragma LLC
- MarketAxess Corporation
- Trumid Financial LLC
Highlight-Mandate
- Advising Industrial and Commercial Bank of China (“ICBC”), the largest bank in China, and the world’s largest bank by total assets, on multiple matters, including on a range of U.S. broker-dealer compliance work.
- Advising Interactive Brokers on an extensive range of compliance and enforcement matters, from net capital, customer reserve and segregation requirements to margin lending and securities lending.
Anwält*innen
Führende Partner*innen
Die stärksten Partner*innen ihres Praxisbereichs, die eine führende Rolle in signifikanten Mandaten einnehmen und weitreichende Anerkennung unter Wettbewerbern und Mandanten genießen.
Praxisleitung
Julian Rainero; Craig Warkol; Marc Elovitz; Kelly Koscuiszki