What We Do

Financial Institutions Advisory & Financial Regulatory

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The Financial Institutions Advisory & Financial Regulatory team advises clients on their retail and institutional businesses in the US, UK, EU and globally.  Our clients include financial institutions, exchanges, electronic communications networks/multilateral trading facilities, clearing and settlement providers, fund managers and corporations.  We provide innovative, practical strategies to help our clients manage their relationships with financial regulators.

Several of our lawyers have held prominent positions in key regulatory authorities worldwide, including the SEC, the Federal Reserve System, U.S. Treasury, Internal Revenue Service, NASD, NASDAQ, the UK’s FSA (now the FCA and PRA) and various European and Asian regulators.

For example:

Representing IntercontinentalExchange (ICE) in its $11 billion acquisition of NYSE Euronext; in its establishment of a CDS central counterparty in New York and London; in its acquisition of The Clearing Corporation and the formation (and conversion to non-bank status pursuant to Dodd-Frank) of ICE Trust U.S.; and in the establishment of ICE Clear Europe as the first new derivatives clearing house in London since 1880. 

For additional information on Shearman & Sterling's work in the area of Financial Institutions Advisory & Financial Regulatory, please click here.

“It is truly an exciting time to be practicing financial regulatory law in a global practice. The financial regulatory landscape continues to evolve daily and each new change impacts our clients’ operations worldwide. Helping them navigate new and complex regulations while continuing to satisfy their business objectives is challenging, exciting and gratifying.    ”
Sylvia Favretto
Financial Institutions Advisory & Financial Regulatory