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Richard
Schaberg
Partner, Washington, D.C.
richard.schaberg@hoganlovells.com
Richard Schaberg is the global co-head of the Hogan Lovells Financial Institutions sector and co-head of the Financial Institutions Group. Richard has been engaged in corporate, securities, and bank regulatory representation and management of public offerings since 1985. He advises a wide variety of financial institutions and financial service providers in these areas. His practice also includes the representation of national, regional, and specialized investment banking firms in transactional matters.
Richard has particular experience in initial and secondary debt and equity offerings, mergers and acquisitions, the formation of stock and no-stock holding companies, going private transactions, and in the conversion of mutual savings institutions to stock form. Richard advises public companies on corporate governance matters, anti-takeover defenses, proxy contests, securities law compliance and exchange listing standards. He also advises mutual financial institutions and credit unions in mergers and acquisitions, chartering matters, and regulatory compliance. Richard advises credit unions on the conversion to a bank and advises on branch sale and acquisitions and the formation of de novo banking institutions. Richard practices before the SEC, all federal banking agencies (OCC, Federal Reserve, NCUA, and the FDIC), and selected state banking agencies.
RECENT PRESENTATIONS
10.24.2011
"New Approaches to Senior Executive Compensation," American Bankers Association, Annual Convention, Strategic Solution Session
10.23.2011
"Corporate Governance - Nominating Committee Briefing," American Bankers Association, Annual Convention, Directors' Forum
7.26.2011
"New Approaches to Senior Executive Compensation," American Bankers Association Webinar
5.10.2011
"The Nuts & Bolts of Bank M&A," Deal Lawyers webcast
2.23.2010
"Mutual Bank Mergers and Acquisitions, Recent Compensation Issues for Mutuals," Massachusetts Bankers Association, Mutual Bank Combinations Seminar
10.25.2009
"Examination Trends and Mutual Transaction Update," American Bankers Association, Mutual Institutions Council Meeting
03.30.2009
"Fiduciary Duties in a Bank Merger," American Bankers Association, Community Bank Conference
12.18.2008
"Bank Consolidations: Strategies for Structuring Bank M&A Deals," Strafford Publications, Inc.
11.09-10.2008
"Compensation Planning at Mutual Institutions: Getting It Right," "Mutual Institutions Transaction Update and Capital Considerations," and "The TARP Capital Purchase Program," American Bankers Association Annual Convention
11.07.2008
"The TARP Capital Purchase Program," Massachusetts Bankers Association, Financial Crisis: Opportunities and Challenges
10.2008
"Fiduciary Duties in a Challenging Environment," Massachusetts Bankers Association 2008 Directors and Trustees Fall Series*
09.2008
"Regulatory Issues With Troubled Institutions," RBC Capital Markets Financial Institutions Conference*
06.2008
"M&A Due Diligence," American Bankers Association Regulatory Compliance Conference*
03.2008
"Getting Your House In Order, Corporate Governance for Community Banks," American Bankers Association Mutual Community Bank Conference*
11.12.2007
"Mutual Transactions Update," America's Community Bankers Mutual Institutions Committee Meeting*
08.17.2007
"Corporate Governance Update Including Compliance and Case Law Issues," American Bankers Association Mutual Institutions Council Meeting*
11.08-10.2006
"Mergers and Acquisitions: Initial Stages of the Process: What Happens?," "Perspectives/Considerations from the Buy and Sell Side," "Executive Compensation Issues, Including IRC 280(g)," and "Key Elements for a Successful Due Diligence Process," AICPA National Conference on Banks & Savings Institutions*
09.14.2006
"Best Practices in Charter Decisions: Beyond the Philosophical Arguments." Topics include: "Developing a Protocol for Assessing Charter Alternatives," "Articulating the Business Case for a Particular Charter," "Satisfying Fiduciary Obligations," and "Presenting the Case to Members," CreditUnions.com Webinar*
02.12.2006
"MHC Year In Review," American Bankers Association National Conference for Community Bankers*
*Presentations given prior to joining our legal practice.
Hogan Lovells Publications
22 December 2011
"Federal Reserve issues key Dodd-Frank NPR on enhanced supervision of systemically important financial companies." Financial Services Regulation Update, Hogan Lovells
24 October 2011
"Financial Stability Oversight Counsel Issues Rule Proposal on the Supervision and Regulation of Systemically Important Nonbank Financial Companies." Financial Services Regulation Update, Hogan Lovells
17 October 2011
"Federal Financial Agencies Issue Volcker Rule Proposal." Financial Services Regulation Update, Hogan Lovells
17 May 2011
"Post-Dodd-Frank Preemption Standard Clarified." Financial Institutions Group Alert, Hogan Lovells
11 February 2011
"FDIC approves for public comment a proposed rule implementing the incentive compensation restrictions of the Dodd-Frank Act." Financial Institutions Alert, Hogan Lovells
29 November 2010
"Federal Reserve issues proposed rule on Volcker Rule transition period." Financial Institutions Group Alert, Hogan Lovells
06 August 2010
"Impact of Dodd-Frank Wall Street Reform and Consumer Protection Act on Non-U.S. Companies." Financial Institutions Group Alert, Hogan Lovells
20 July 2010
"Financial Services Reform Legislation Enacted." Financial Institutions Group Alert, Hogan Lovells
23 June 2010
"Federal Reserve, OCC, OTS and FDIC Issue Guidance on Incentive Compensation Policies." Financial Services Regulation Alert, Hogan Lovells
06 July 2009
"Supreme Court Hands Office of the Comptroller of the Currency (OCC) a Rare Preemption Case Loss." Financial Services Regulation Update, Hogan & Hartson LLP
17 June 2009
"A New Foundation: The White House Introduces its Financial Regulatory Reform Plan." Financial Services Regulation Update, Hogan & Hartson LLP
Published Works
29 April 2011
"Impact of Dodd-Frank Act on non-US financial institutions." PLC Financial Services
PUBLISHED WORKS PRIOR TO JOINING THE FIRM
12.01.2007
"Corporate Governance for Mutuals," American Bankers Association
2004
"Capital Raising Opportunity for Mutual Institutions Without Converting - Trust Preferred Securities," Community Banker
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