Margaret Sheehan is a senior counsel in our finance practice
Margaret concentrates her practice on counselling investment advisers, broker-dealers and other financial institutions on all matters relating to the development and offering of investment products and services. Margaret has a particular expertise in the unique marketing, disclosure, conflicts, supervisory, sales practice and compensation issues that these firms face.
Her clients include domestic and global asset management firms, broker-dealers, banks and insurance companies as well as specialized firms servicing high net worth, institutional or other unique clients. Many of Margaret's clients are dually registered or part of a multi-registrant holding company structure.
In addition, Margaret has extensive experience representing clients in their dealings with the Securities and Exchange Commission, state securities regulators and self-regulatory organizations such as FINRA. She advises domestic and international clients on various aspects of the Dodd Frank Act. Specifically, she has counselled clients on the changes to the investment adviser registration requirements, and represented financial institutions in submitting comments to regulatory agencies on the Credit Risk Retention Rules and the Volcker Rule. Margaret counsels non-US broker-dealers and investment advisers on conducting business in the United States. Margaret has organized and registered investment advisers, investment companies and broker-dealers, and has represented these entities in mergers, acquisitions, changes in control and material changes in business. She also focuses on regulatory issues associated with private investment companies.
Margaret is admitted to the D.C. Bar and the New York State Bar.
Ashurst LLP, New York, NY, is responsible for content in the US.
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US SEC Refines and Broadens The Scope of The Dealer Definition
29 Feb 2024
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FINRA Issues Regulatory Notice Relating to Complex Products and Options
15 Mar 2022
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SEC fines securities firm in connection with sales of volatility linked ETNs
23 Jul 2021
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News Ashurst advises BNP Paribas on the €800 million public STS securitization of its German consumer loan receivables
04 Sep 2024
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News Ashurst advises BNP Paribas on the €800 million public STS securitization of its German consumer loan receivables
04 Sep 2024
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News Ashurst advises BNP Paribas on public STS securitisation of consumer receivables
13 Apr 2023
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News Ashurst represents Citibank on USD 100 million securitisation transaction for Validus
13 Jul 2022
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