Lawyers & Professionals

Firm Overview

Instead of trying to be everything to everybody, we’ve made a name for ourselves by delivering what our clients need most: in-depth, hands-on legal counsel throughout the financial services sector — and beyond.

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Firm News

There’s a lot going on at Schulte — we’re wrapping up high-profile matters, welcoming talented new lawyers, speaking on issues that affect our clients, and more.

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Pro Bono

Throughout our history, Schulte has provided comprehensive pro bono services to local and national nonprofit organizations. Today, we serve more than 50 nonprofits and work to advance a variety of social justice causes.

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Diversity, Equity and Inclusion

Inside the firm, we work hard to attract diverse, talented lawyers and encourage their career growth and advancement. And outside the office, we’re active in volunteer drives and local initiatives that support underrepresented groups.

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Alumni

If you’re a current or former Schulte lawyer, join our Alumni Network on LinkedIn to stay connected with old friends, make new contacts, and share your successes, ideas and insights.

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Social Responsibility

We take doing “good work” seriously — whether we’re talking about our high ethical standards or the way in which we foster a positive and inclusive culture for our personnel and support local communities.

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Offices

  • New York

    • 919 Third Avenue
    • New York, NY 10022
    • United States of America
      • +1 212.756.2000 Phone
      • +1 212.593.5955 Fax
  • Washington, DC

    • 901 Fifteenth Street, NW, Suite 800
    • Washington, DC 20005
    • United States of America
      • +1 202.729.7470 Phone
      • +1 202.730.4520 Fax
  • London

    • One Eagle Place
    • London SW1Y 6AF
    • United Kingdom
      • +44 (0) 20 7081 8000 Phone
      • +44 (0) 20 7081 8010 Fax

SEC Proposal to Substantially Reduce Form 13F Reporting Obligations

On July 10, 2020, the SEC proposed increasing the reporting threshold that triggers the filing of a Form 13F from $100-million worth of “13(f) securities” to $3.5 billion. The $100-million threshold has not changed since Congress amended the Securities Exchange Act of 1934 in 1975.

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BE-180 — Mandatory Survey of Cross-Border Financial Services Transactions

The U.S. Department of Commerce’s Bureau of Economic Analysis has begun the process of collecting the 2019 BE-180 Survey of Financial Services Transactions Between U.S. Financial Services Providers and Foreign Persons. BE-180 information is collected every five years.

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CFTC Actions on Automated Trading

On June 25, 2020, the Commodity Futures Trading Commission issued a rulemaking proposal addressing the risks of electronic trading causing disruptions in the commodity futures, options and swaps markets. The proposed regulations would impose new obligations upon exchange operators to take steps to prevent, detect and mitigate market disruptions associated with electronic trading.

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CFTC Conditions Rule 4.13 Eligibility on Absence of Statutory Disqualifications

On June 4, 2020, the CFTC amended Rule 4.13, which contains a fund-level registration exemption that is frequently claimed by private fund managers, to require a manager seeking to claim a Rule 4.13 exemption to represent that neither it nor any of its principals is subject to a statutory disqualification listed in Section 8a(2) of the Commodity Exchange Act.

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Reminder: Swaps Proficiency Requirements for Associated Persons

Managers that are registered with the CFTC and are members of the National Futures Association should note that compliance with the NFA’s new swaps proficiency requirements is required by Jan. 31, 2021.

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EU Shareholder Rights Directive

The implementation of the EU Shareholder Rights Directive will, among other things, introduce a new regulatory framework enabling EU issuers to identify their shareholders. From Sept. 3, 2020, EU-based “intermediaries” will be required to respond to requests from issuers to identify clients with holdings over a stated percentage of shares or voting rights.

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Implementation of the New Marketing Regime in Switzerland

The Swiss financial regulator, FINMA, has recently approved several investor complaint mediation bodies to serve as ombudsmen for financial services disputes. As a result, managers that offer their funds in Switzerland are required to join a financial ombudsman organization by Dec. 24, 2020.

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CISA Releases First Installment of its ‘Cyber Essentials’ Toolkits

Earlier this year, the U.S. Department of Homeland Security’s Cybersecurity and Infrastructure Security Agency issued the first of a series of six cyber essentials toolkits, as a follow-up to CISA’s November 2019 release of CISA’s Cyber Essentials. On July 1, CISA published the second toolkit on its website.

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