About

Arthur S. Long advises clients on all aspects of financial institutions regulation. Mr. Long draws on extensive industry knowledge to help non-US and US financial institutions navigate:

• The regulatory aspects of M&A and capital markets transactions
• Bank regulatory compliance issues
• Dodd-Frank issues, including the regulation of systemically significant banks and related heightened capital and liquidity requirements
• Resolution planning
• Volcker Rule issues with respect to bank proprietary trading and private equity fund/hedge fund operations

Axel Schiemann advises German and global clients on a full spectrum of domestic and cross-border regulatory issues and transactions in the financial sector.

David Berman advises extensively on a wide spectrum of issues, including market conduct, culture and conduct, individual accountability, governance, conflicts of interest, inducements, regulatory aspects of transactions, remediation and redress exercises, and conduct of business regulation generally.

Farhana Sharmeen focuses on both corporate (mergers and acquisitions, investment funds, and debt capital markets) and finance (acquisition finance, structured finance, and leveraged finance) transactions. She also advises on general corporate matters, including regulatory compliance and corporate governance issues.

Marlon Paz counsels broker-dealers and other financial services firms in matters related to securities regulation, regulatory enforcement, internal investigations and examinations, and compliance. He also helps clients navigate acquisitions of brokers, dealers, and investment advisers.

Markus Krüger advises a broad spectrum of German and international clients on complex mergers and acquisitions as well as financial regulatory issues. He has a particular focus on serving financial industry and fintech companies.

Nicola Higgs specializes in financial services regulatory advice and has vast experience advising financial institutions and market infrastructure providers on a wide range of complex domestic and cross-border regulatory issues.

Rob Moulton specializes in financial services regulatory advice and draws on extensive experience advising investment banks, governments, corporate finance houses, clearing houses, fund managers, insurers, stockbrokers, and online trading businesses on a variety of legal and regulatory risk management matters.

Stuart Davis advises a wide range of broker-dealers; investment, retail, and private banks; technology companies; market infrastructure providers; investment managers; hedge funds; and private equity funds on complex regulatory challenges.

Simon Hawkins focuses on financial regulation, including licensing matters, prime brokerage arrangements, securities dealing, financial market regulations, intermediary and distribution arrangements, product development and structuring, and fintech.

Stephen Wink advises a wide range of market players including investment banks, hedge funds, private equity firms, exchanges, alternative trading platforms, transfer agents, other financial institutions, and fintechs on matters involving the regulation of broker-dealers and investment advisors, market regulation, and compliance and enforcement matters.

Thomas Vogel has significant experience in cross-border capital markets, structured finance, and derivatives, and regularly acts for global financial services firms, investment managers, hedge funds, sovereign funds, and UHNW individuals.

Yvette Valdez advises dealers, intermediaries, and end-users in connection with derivatives (swaps and futures) legal and regulatory matters. She also advises emerging companies, financial institutions, and investment managers on complex regulatory challenges in the development of bespoke financial crypto-asset and cryptocurrency technologies including token sales, market infrastructure, trading, clearing, and settlement solutions on distributed ledger technology.