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Formation and Registration

 

Shipkevich provides a full range of transactional, litigation and advisory services in connection with registering futures firms with the CFTC and the NFA. Our  counsel registers firms with domestic securities regulators and offshore regulators in Asia, the Americas, and the European Union. We advise our clients on federal and state laws governing securities, funds and advisors, regulations implemented by the Commodities Exchange Act, the Dodd-Frank Act, the Securities Exchange Act, the Investment Advisers Act, and the Investment Company Act.

 

Shipkevich’s formation and registration services include:

  • Register FCMs, IBs, CPOs, and CTAs with the CFTC and NFA;
  • Structure and negotiate over-the-counter (OTC) derivatives transactions, counseling Retail Foreign Exchange Dealers (RFEDs), SDs, SEFs, and MSPs on registration and compliance;
  • Review commodities and derivatives compliance procedures, including procedures for training personnel, implementation of disaster recovery plans, and supervisory roles to comply with regulatory guidelines;
  • Advise domestic and offshore hedge fund groups on regulatory and transactional matters, with regard to implementing compliance policies related to hedge fund investments and operations, as well as other issues arising under securities, commodities, and tax laws;
  • Coordinate with local counsel regarding compliance under the laws of multiple domestic and offshore jurisdictions;
  • Comment on new legislation affecting formation and registration;
  • Publish alerts to notify clients of regulatory updates;
  • Write, review and audit documents on anti-money laundering policy, promotional material review, electronic trading system policies;
  • Train staff in anti-money laundering policy, ethics protocol, promotional material review, fraud detection and electronic trading system policies;
  • Interact with regulators for the purpose of registering clients and ensuring compliance with applicable legislation.