Financial Regulation

"In areas where both innovation and deep knowledge matter, Cadwalader is proving the firm of choice for international banks. The firm's broker-dealer regulatory group remains one of the best in the U.S." – IFLR Americas

Honored with the 2014 IFLR Americas award for Financial Regulation Team of the Year, Cadwalader's financial regulatory group has experience in virtually all financial law-related statutory and regulatory requirements, including those governing broker-dealers, securities and futures exchanges, clearing corporations, banks, insurance, investment advisers, and funds and pension plans. We provide advice across the full range of transactions and compliance, including prime brokerage, clearing, financing, capital, compliance, examinations and enforcement, registration (both employee and firm), M&A, sales and trading across the spectrum of products, OATs and other trade reporting issues.

In light of this range of proficiency, our Chambers-, Legal 500-, and IFLR-ranked attorneys are increasingly called upon by businesses who need help navigating current and future regulatory challenges stemming from the global financial crisis. We help our clients understand the issues that will affect their industries, entities and transactions, including the impact of regulations and requirements of The Dodd-Frank Wall Street Reform and Consumer Protection Act and a wide variety of European Union Regulatory Reforms targeting investment business and market structures (MiFID II); alternative investment fund managers (AIFMD, the scope of which includes hedge funds, private equity and others operating outside the UCITS); central clearing and exchange-trading of derivatives (EMIR and MiFID II); market abuse and insider dealing (MAD II); capital regimes (CRD IV); and commodity derivatives traders (REMIT, MAD II and MiFID II).

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32 Attorneys

Allen, Nicholas Associate New York
T. +1 212 504 6567
Avergun, Jodi L. Partner Washington
T. +1 202 862 2456
Bartlett, Maurine R. Senior Counsel New York
T. +1 212 504 6218
Calves, Patrick A. Associate New York
T. +1 212 504 5557
Cammarn, Scott A. Partner Charlotte
T. +1 704 348 5363
Dachs, Jacob Associate New York
T. +1 212 504 5616
Damianova, Assia Special Counsel London
T. +44 (0) 20 7170 8564
Duncan, J. Robert Associate Washington
T. +1 202 862 2233
Foster, Brian Partner New York
T. +1 212 504 6736
Frazier, James Partner New York
T. +1 212 504 6963
Grogin, Stephanie L. Senior Attorney New York
T. +1 212 504 6456
Hamlin, Jakarri V. Law Clerk New York
T. +1 212 504 6022
Highman, Mark Professional Advisor New York
T. +1 212 504 5604
Horowitz, Martin Associate Charlotte
T. +1 704 348 5177
Jay III, A. Joseph Special Counsel Washington
T. +1 202 862 2248
Lefkowitz, Matthew Associate New York
T. +1 212 504 6227
Listhaus, Jason D. Associate New York
T. +1 212 504 5545
Lofchie, Steven Partner New York
T. +1 212 504 6700
Macleod, Neil Special Counsel London
T. +44 (0) 20 7170 8641
Matusic, Marla Associate New York
T. +1 212 504 6072
Mehta, Dorothy D. Partner New York
T. +1 212 504 6846
Patel, Nihal S. Associate New York
T. +1 212 504 5645
Quirolo, David Partner London
T. +44 (0) 20 7170 8635
Robins, Jeffrey L. Partner New York
T. +1 212 504 6554
Saltstein, Allison F. Law Clerk New York
T. +1 212 504 6041
Shipp, Bryan Associate New York
T. +1 212 504 5615
Shiren, Nick Partner London
T. +44 (0) 20 7170 8778
Stromfeld, Lary Partner New York
T. +1 212 504 6291
Tompkins, Anne M. Partner Charlotte
T. +1 704 348 5222
Washington
T. +1 202 862 2496
Urban, Lex Associate Washington
T. +1 202 862 2320
Wainstein, Kenneth L. Partner Washington
T. +1 202 862 2474
Zwirb, Robert S. Consulting Attorney Washington
T. +1 202 862 2291

Contact(s)

Scott A. Cammarn
+1 704 348 5363 
scott.cammarn@cwt.com
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Steven Lofchie
+1 212 504 6700 
steven.lofchie@cwt.com
v-card
Nick Shiren
+44 (0) 20 7170 8778 
nick.shiren@cwt.com
v-card

Finance Forum 2017

Cadwalader is proud to host the 2nd Annual Finance Forum in Charlotte on November 8, 2017.

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