eBook | Regulatory Guide To Money Transmission & Payment Laws In The U.S (3rd Edition)

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Capital Markets and Foreign Exchange

At Shipkevich PLLC, our attorneys excel in navigating the intricate and ever-evolving international regulatory frameworks crucial to the global economy. With a profound understanding of the complexities inherent in the futures and derivatives sectors, we offer insightful legal guidance across these industries. Our team’s adept skills in formation, registration, enforcement representation, and regulatory compliance place us at the pinnacle of legal advisers in the foreign exchange and capital markets.

Our attorneys have garnered recognition for their unique perspectives into the dynamics of the futures and derivatives industry. Shipkevich PLLC can help guide your company through each facet of its transactions with unwavering expertise and strategic foresight. Whether you’re dealing with the nuances of international law or embracing new market technologies, our team is here to assist you through every stage of your financial and regulatory journey.

Comprehensive Services in Capital Markets and Foreign Exchange:

  • Regulatory Compliance and Policy Development: We provide tailored counsel to help clients develop robust policies and procedures that align with regulatory restrictions on trading futures, options, swaps, and various other over-the-counter (OTC) derivatives. Our expertise ensures that your business adheres to the highest standards of compliance.
  • Transactional Expertise: Our service scope encompasses detailed transactional representation concerning derivatives, commodities, insurance, cross-border engagements, margin considerations, and insolvency scenarios.
  • Innovation and Infrastructure Structuring: We advise on pioneering new technologies within the financial sector, structuring exchanges, and establishing clearing houses to enhance market efficiency and compliance.
  • Legislative Insight and Regulatory Policy: We keep our pulse on regulatory policy and new legislation impacting commodities, derivatives, and futures under the frameworks of the Dodd-Frank Act and the Commodity Exchange Act (CEA).
  • Documentation and Conflict Management: Crafting meticulous procedures for documenting swap transactions and recording swap information is crucial. Our strategies ensure compliance with CFTC rules, including well-defined conflict-of-interest procedures.
  • In-House Policy Development: Developing in-house policies for training personnel and oversight is critical for maintaining a compliant and effective operation. We guide commodities and derivatives businesses in establishing robust internal procedures.
  • Global Compliance Coordination: Our coordination with local counsel across jurisdictions ensures adherence to diverse legal frameworks affecting trading, advisory services, and technology systems.
  • Legislative Commentary and Interaction: We actively engage in commenting on recent legislation affecting commodities, derivatives, and futures markets, advocating for our clients’ interests. Our interaction with regulators is pivotal in registering entities such as FCMs, IBs, CTAs, CPOs, SEFs, SDRs, MSPs, and SDs.
  • Complex Transaction Structuring: Advising on complex transaction structuring and implementing novel procedures ensures compliance and strategic advantage in rapidly shifting financial landscapes.