Regulatory Considerations for Integrating a Brokerage Firm into a Corporate Group
The recent Davis Polk and Oliver Wyman webcast discussion on the regulatory issues faced when integrating a broker-dealer, is now available On Demand for your convenience.
The webcast reviews our memoon common regulation-driven integration considerations.
Lanny A. Schwartz
Mr. Schwartz is a partner in the trading and markets practice within Davis Polk’s Financial Institutions Group. He advises on securities and derivatives compliance, regulatory and transactional matters and enforcement.
Hilary S. Seo
Ms. Seo is counsel in Davis Polk’s Financial Institutions Group. She advises major international banks, broker-dealers and other financial institutions on regulatory, compliance and transactional matters, with a particular focus on derivatives and broker-dealer regulation.
Ms. Lee is an associate in Davis Polk’s Financial Institutions Group.
Mr. Meyer is a Partner at Oliver Wyman and Head of Oliver Wyman’s Compliance practice. Previously he served in various Compliance Head roles at Barclays, Credit-Suisse and UBS. He has substantial experience in building Compliance processes, systems and control frameworks.
Ms. Belov is a Principal at Oliver Wyman. She is part of the Financial Services and Organizational Effectiveness practices. She advises on compliance and risk management, corporate governance, and organizational optimization.