Gerard S. Citera
Davis Polk & Wardwell
Gerard S. Citera is counsel in Davis Polk’s Financial Institutions Group and serves as a senior lawyer in the firm’s Trading and Markets practice. He holds extensive experience representing broker-dealers, banks, investment banks, investment advisers and other financial institutions in a wide range of legal, compliance and regulatory matters.
Mr. Citera’s advisory practice focuses on broker-dealer regulatory issues, including compliance, supervision, trading, sales, market structure, derivatives and technology.
Mr. Citera provides regulatory advice on mergers and acquisitions of financial institutions, creation of new broker-dealers, capital market transactions and new product development.
He has managed the implementation of major regulatory, technological and market structure changes. He also structures and implements supervisory and compliance programs, conducts internal investigations and compliance reviews, and represents clients in SEC and SRO examinations, investigations and enforcement proceedings.