Practice Areas

Foreign Exchange Transactions

Our firm advises foreign exchange brokers, dealers, and traders on compliance with regulatory agencies, including the CFTC, NFA, Office of the Comptroller of the Currency (OCC), and the Federal Deposit Insurance Corporation (FDIC), and other domestic and international regulators. We have experience in all aspects of fund formation and regulatory compliance for foreign exchange firms, IBs, CTAs and CPOs. Our attorneys act as liaisons with local counsel in international jurisdictions to assist foreign exchange brokers in developing and implementing compliance policies and procedures.


  • Advising on regulatory issues with customer agreements and applications, as well as policies and procedures for ensuring regulatory compliance;
  • Structuring regulatory compliance manuals, policies and procedures, and white label agreements;
  • Regulatory filing with the CFTC, NFA, and other regulators;
  • Defending against regulatory actions filed against registered and unregistered foreign exchange brokers;
  • Structuring, drafting, and implementing anti-money laundering, know your customer, privacy policies, and customer information program policies, drafting and implementing programs in compliance with FinCEN and local regulatory authorities;
  • Acting as liaisons between clients and international regulatory authorities, including the U.K. Financial Services Authority (UK FSA), Hong Kong Security Futures Commission (HK SFC), Japan Financial Services Agency (Japan FSA), Belize International Financial Services Committee (IFSC), New Zealand Financial Markets Association (NZFMA), the Monetary Authority of Singapore (MAS), and the Bermuda Monetary Authority (BMA).