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Investment Management
Schulte’s Bank Regulatory Group helps clients create value at the complex intersection of financial services and private capital.
Investment Management
Blockchain Technology and Digital Assets
Schulte has been at the intersection of private capital and digital assets since we helped launch the first crypto hedge fund in 2013. Today, as digital assets have moved from the periphery to become a firmly established alternative asset class, we leverage the full force of Schulte’s experience in investment management, M&A, corporate finance, risk management, compliance and restructuring to help clients across the entire digital assets and blockchain technology ecosphere achieve their business objectives.
Practice Area
Broker-Dealer Regulatory and Enforcement
Schulte’s Broker-Dealer Regulatory and Enforcement Group advises some of the securities market’s leading broker-dealers, helping them navigate SEC, FINRA, exchange and state securities law compliance requirements and enforcement actions. Few firms can offer a practice with the size and depth of experience as our Broker-Dealer Regulatory and Enforcement Group.
News & Insights 4,663 results
Media Mentions
|April 23, 2024
Schulte partner William Barbera discusses the SEC’s dealer-rule
Schulte Roth & Zabel partner William Barbera was quoted in Risk.net, where he discussed the challenges hedge funds face in responding to the Securities and Exchange Commission's (SEC) recent dealer registration rule.
Awards & Recognition
|April 22, 2024
Schulte ranked 2nd for US Middle Market, 3rd for US BSL in 9fin’s Q1 2024 CLO league tables
Schulte Roth & Zabel ranked 2nd in the Manager Counsel – US Middle Market category, and 3rd in the Manager Counsel – US Broadly Syndicated Loan category in the Q1 2024 9fin CLO league tables. The firm advised on more than $8 billion across 18 deals in the US.
Alerts
|April 19, 2024
A Guide to the New York LLC Transparency Act
On March 1, 2024, New York Governor Kathy Hochul signed into law an amended version of the New York LLC Transparency Act (“NYLTA”),[1] requiring certain limited liability companies (“LLCs”) formed or authorized to do business in New York (each, a “NY Reporting Company”) to file a beneficial ownership information (“BOI”) report with the NY Department of State (“NY DOS”). Each NY Reporting Company will be required to disclose on its BOI report identifying information pertaining to each individual who directly or indirectly exercises substantial control or owns or controls 25 percent or more of the ownership interests of a NY Reporting Company (each, a “Beneficial Owner”) and the individuals involved in the NY Reporting Company’s formation or registration to do business in New York (each, an “Applicant”). Information reported to NY DOS will be maintained in a private database not accessible to the public. The NYLTA goes into effect on Jan. 1, 2026 and requires the NY DOS to promulgate regulations implementing the legislation.
Site Content 43 results
Site Content
Site Content
The Beneficial Ownership Guide provides information about the disclosure regimes of 35 countries. Updated annually, this information is necessary for holders of securities of public companies, and includes rules on disclosing positions to issuers, the market and regulators, as well as procedures and timelines for doing so.
Careers
Schulte is more than a collection of world-class lawyers — our team also includes talented business professionals, and we’ve long been proud of the true partnership that exists between our lawyers and legal operations staff. (Read co-managing partner Marc Elovitz’s AmLaw article on the topic.) As a Schulte business professional, you’ll be an integral part of the firm and its success.