Capital Markets and Foreign Exchange

Shipkevich PLLC knows capital markets. With years of experience navigating the international regulatory waters of the new global economy, we guide our clients through every step of the deal. Our attorneys have unparalleled insight and experience in the unique complexities of the futures and derivatives industry, especially in the areas of formation and registration, enforcement representation, regulatory compliance and foreign exchange transactions.


  • Counsel on developing policies and procedures to meet compliance with regulatory restrictions on trading futures, options, swaps and various OTC derivatives;

  • Transactional representation on issues related to derivatives, commodities, insurance, cross-border, margin and insolvency;

  • Advise on structuring new technologies, exchanges, and clearing houses; on regulatory policy and new legislation affecting commodities, derivatives, futures and international law, in connection with the Dodd-Frank Act and the CEA;

  • Create procedures for documenting swap transactions, recording swap information, and conflict-of-interest procedures comply with CFTC rules;

  • Develop in-house policies for training personnel, oversight policies, and other procedures for commodities and derivatives businesses;

  • Coordinate with local counsel on compliance with multi-jurisdictional laws affecting trading, advisory, and technology system regulations;

  • Comment on recent legislation related to commodities, derivatives, and futures markets;

  • Interact with regulators in furtherance of registering FCMs, IBs, CTAs, CPOs, SEFs, SDRs, MSPs, SDs;

  • Advise on implementing new procedures for structuring complex transactions and ensure compliance.