Steven Gatti specializes in regulatory enforcement proceedings before the U.S. Securities and Exchange Commission and other securities regulators, and in other regulatory matters within the financial services sector, including internal investigations.
Steve advises multi-national broker-dealers, asset managers, and other financial services companies with respect to financial markets and trading regulation, compliance, the development of new products, and financial institution mergers and acquisitions.
- Why Security Tokens Will Transform the Real Estate Industry
Security Token Academy, April 2019
- AIMA's Global Policy & Regulatory Forum 2019: Enforcement Priorities in 2019 and Beyond
Moderator, March 26, 2019
- Crypto Considerations for Fund Managers
FintechPolicy.Org, March 2019
- Blockchain Cash Issuer Q&A with R3 Legal Center of Excellence
Practical Law Finance and R3 Legal Center of Excellence
- Tesla CEO In Firing Line After Twitter Storms – Published by Global Finance
- In this article, Regulatory Enforcement & White Collar partner Steven Gatti comments on developments in connection with the SEC's ongoing investigation of a tweet from Tesla's CEO. As reported: Elon Musk "took to Twitter in early August saying he was 'considering taking Tesla private at $420. Funding secured.'”
01 September 2018
- Co-author, “Broker-Dealer Regulation,” in SEC Regulation Outside the United States, Risk Books, a Division of Incisive Financial Publishing Ltd., 5th ed. (2005)
- “SEC Prepares to Narrow Soft Dollar Safe Harbour,” International Financial Law Review, (February 2006)
SEC Proposes a Principles-Based Advertising Rule for the Way Investment Advisers Live Now
11 November 2019
California Consumer Privacy Act Takes Shape: Amendments and Draft Regulations Provide Some Clarity but Questions Remain
23 October 2019
FINRA Proposes Amendments to its "New Issue" Rules With Key Implications for Foreign Fund Managers and Investors
16 October 2019
Defending Against U.S. Trading-Related Investigations and Litigation: Do the U.S. Securities and Commodities Laws Reach Foreign Conduct?
11 October 2019
Volcker Rule 2.0: Some Helpful Upgrades and Bug Fixes - Update Your Volcker Policies and Procedures Now
9 October 2019
Career and qualifications
- College of William and Mary (B.A., History), 1990
- The George Washington University Law School (JD) 1995
- Admitted as an Attorney-at-Law in Maryland 1995
- Admitted as an Attorney-at-Law in New Jersey 1995
- Admitted as an Attorney-at-Law in District of Columbia 1997
- Exchange Floor Clerk, New York Stock Exchange, 1990
- Joined Clifford Chance 1997
- Partner since 2006
Awards and citations
- Steven Gatti has been ranked in Chambers USA: Financial Services Regulation - Broker/Dealer (Enforcement). He is recognized for his representation of broker-dealers in SEC enforcement actions and internal investigations, particularly in matters relating to trading regulations. One client attests: "He's great - I trust his judgment and guidance."
Chambers USA 2019 - Financial Services Regulation: Broker Dealer (Enforcement) (Nationwide)
- Steven Gatti has been ranked in Chambers USA - Financial Services Regulation: Broker Dealer (Enforcement) (Nationwide). Steven Gatti of Clifford Chance US LLP is best known for his work representing asset managers, broker-dealers and other financial institutions in investigations and enforcement actions brought by regulators such as the SEC. Clients draw attention to his "very good commercial experience" and "user-friendly" manner.
Chambers USA 2017 - Financial Services Regulation: Broker Dealer (Enforcement)