Shipkevich advises futures, commodities, derivatives and foreign exchange businesses on compliance with applicable rules and requirements of the U.S. Commodity Futures Trading Commission (CFTC) and the National Futures Association (NFA), as well as other nations’ regulatory agencies.
We provide clients with transactional, litigation and advisory services in response to governmental inquiries and actions.
Our attorneys advise broker-dealers and other small- to large-cap financial companies on regulatory requirements including: Counsel on implementing supervisory and reporting obligations for Swap Dealers (SDs), Swap Data Repositories (SDRs), Swap Execution Facilities (SEFs), Futures Commission Merchants (FCMs) and Major Swap Participants (MSPs), restrictions on over-the-counter (OTC) trading, and drafting conflict of interest policies and procedures for Introducing Brokers (IBs), FCMs, SEFs, SDRs, SDs and MSPs.
We advise on implementing new products, structuring complex transactions, and acquiring regulatory relief. Monitoring new, revised, and forthcoming rules and regulations from the CFTC and the NFA allows us to provide our clients with sound, timely counsel on changes in legislation. Shipkevich attorneys participate in CFTC rulemaking procedures, submitting comment letters regarding rule proposals by the regulatory entity, and suggesting measures for improvement. Balancing clients’ needs with regulatory demands is the pride and hallmark of our firm.