Schulte Roth & Zabel is a full-service law firm with industry-leading practices in financial services, including in the areas of regulation, compliance and litigation involving investment advisers, broker-dealers and banks; private investment fund formation, mutual funds, closed-end funds (including business development companies) and investment management; mergers and acquisitions; distressed investing; business restructuring and bankruptcy; finance; derivatives; and real estate. The firm has offices in New York, London and Washington, D.C.

With a client base of more than 300 leading financial services firms, including investment banks, commercial banks, hedge funds, private equity funds, mutual funds, closed-end funds and business development companies, we have an in-depth knowledge of industry terms and practices and a breadth of experience that few other firms can equal.

Our attorneys have extensive regulatory and compliance experience and many of whom have prior experience working at the U.S. Securities and Exchange Commission (SEC) or in U.S. Attorneys’ offices.

Our regulatory & compliance lawyers provide day-to-day advice on:

  • All issues related to the U.S. Investment Advisers Act, the U.S. Investment Company Act, the U.S. Securities Act, the U.S. Securities Exchange Act, the U.S. Commodity Exchange Act, regulations of the Commodities Futures Trading Commission (CFTC), rules of the National Futures Association (NFA), rules of the U.S. Financial Industry Regulatory Authority (FINRA), the U.K. Financial Services and Markets Act 2000, rules of the U.K. Financial Conduct Authority (FCA) and numerous stock exchanges
  • Registration (or exemption from registration) of investment advisers, broker-dealers, mutual funds, closed-end funds, business development companies, commodity pool operators and commodity trading advisors
  • Securities trading issues, including short selling, insider trading, market manipulation, principal and agency cross transactions, trade allocations and valuations
  • Issues arising under the U.S. Foreign Corrupt Practices Act (FCPA) and the U.S. Office of Foreign Asset Control (OFAC) sanctions programs, the USA PATRIOT Act and U.S. and U.K. anti-money laundering regulations
  • Bank regulatory issues, including those related to the U.S. Bank Holding Company Act and the U.S. Dodd-Frank Wall Street Reform and Consumer Protection Act
  • All issues related to laws governing employee benefits and employee benefit including the U.S. Employee Retirement Income Security Act (ERISA), the U.S. Internal Revenue Code and the Taft-Hartley Act
  • The U.S. Employee Retirement Income Security Act (ERISA)

In addition to day-to-day compliance advice, our attorneys:

  • Counsel clients as they prepare for and undergo compliance examinations by federal regulators (including the SEC) and self-regulatory organizations (such as the NFA)
  • Assist clients in responding to subpoenas
  • Represent clients in civil and criminal cases and investigations by governmental agencies and regulators
  • Conduct on-site legal compliance reviews and training sessions on compliance issues
  • Assist clients in drafting compliance policies and procedures
  • Assist clients in conducting annual compliance reviews (for Rule 38a-1, Rule 206(4)-7 and NFA requirements)
  • Help clients draft and submit Form ADV, Form BD and Form 7-R registration statements
  • Assist with position and portfolio disclosures, including Form PF (and PQR), BEA Forms and Form SLT, Section 13 and 16, short sale reporting, and Form 40/40S

Our attorneys have vast experience with investigations and litigation (including trials and on appeal) brought by:

  • S. Attorneys’ offices throughout the country
  • The SEC
  • The CFTC
  • FINRA and other self-regulatory organizations
  • The Office of the Attorney General for the State of New York
  • The American Arbitration Association
  • The U.S. Department of Labor, Pension Benefit Guaranty Corporation and the Internal Revenue Service