Barbara A. Stettner

Partner, Allen & Overy

Barbara Stettner is the Head of Allen & Overy’s US Financial Services Regulatory Practice, a member of the Global Financial Services Regulatory Steering Committee, and a member of the Global Board. She represents banks, asset managers, broker-dealers, funds, and other financial institutions on regulatory obligations in domestic and cross-border matters involving securities distributions and fundraising activities, Fintech and digital assets trading and custody requirements, lending and advisory platforms, and other regulatory matters impacting both private wealth and institutional clients under the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, and the Bank Secrecy Act. Previously, Barbara was at the SEC’s Division of Trading and Markets, as Special Counsel in the Office of the Chief Counsel, Attorney-Advisor in the Office of Risk Management and Control, and Senior Counsel in the Office of International Affairs. She is a current member of the Board of Advisors of the SEC’s Historical Society. According to Chambers USA, Barbara “receives accolades for the reasoned advice that she provides to broker-dealers and other financial institutions relating to regulatory compliance. Clients have enthused that “‘she has a very good knowledge of the law’ and  ‘does an excellent job of spotting all the regulatory issues that might be implicated in a question and bringing all of those issues together.