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 2022 and 2020 IFLR Americas Financial Services Regulatory Team of the Year Award, and ranked Tier 1 in “Financial Services Regulatory” by IFLR1000, 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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28 Attorneys

Avergun, Jodi L. Senior Counsel Washington
T. +1 202 862 2456
Bartlett, Maurine R. Senior Counsel Charlotte
T. +1 212 504 6218
Breen, Kenneth M. Partner New York
T. +1 212 504 6240
Calves, Patrick A. Partner New York
T. +1 212 504 5557
Cotton, Nikita B. Associate New York
T. +1 212 504 6855
Damianova, Assia Special Counsel London
T. +44 (0) 20 7170 8564
DiNardo, Robert Special Counsel New York
T. +1 212 504 6142
Foster, Brian Partner New York
T. +1 212 504 6736
Frazier, James Partner New York
T. +1 212 504 6963
Gellman, Michelle Associate New York
T. +1 212 504 6160
Guberman, Phara A. Partner New York
T. +1 212 504 6241
Hunter, Marcus Associate New York
T. +1 212 504 6408
Karp, Andrew Partner New York
T. +1 212 504 6962
Kelly, Jack Andrew Special Counsel London
T. +44 (0) 20 7170 8632
Larson, Christian Special Counsel Washington
T. +1 202 862 2402
Malyshev, Peter Y. Partner Washington
T. +1 202 862 2474
Miller, Devin Staff Attorney New York
T. +1 212 504 6478
Mills, Juliette Associate London
T. +44 (0) 20 7170 8766
Ncube, Grace Associate London
T. +44 (0) 20 7170 8732
Newell, Michael Partner London
T. +44 (0) 20 7170 8540
Dublin
T. +353 (0) 1 2478050
O'Shea, Sean F. Partner New York
T. +1 212 504 5700
Petrella, Michael Partner New York
T. +1 212 504 5551
Prentice, Alix Partner London
T. +44 (0) 20 7170 8710
Quirolo, David Partner London
T. +44 (0) 20 7170 8635
Stark, Hayden Associate New York
T. +1 212 504 6257
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
Tunstall, Mercedes Kelley Partner Washington
T. +1 202 862 2266