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Foreign Market Access: CFTC Regulation of Foreign Boards of Trade and US Participation on Foreign Boards of Trade

part of the FIA Law & Compliance Division webinar series
13 April 2017 10:00am to 11:00am EDT

This webinar will provide a brief history of the CFTC’s approach toward trading on non-U.S. markets; review some of the forces driving today’s demand for increasingly global trading; discuss the process of registering a Foreign Board of Trade with the CFTC; and describe how U.S. intermediaries can do business on FBOTs, and the status of non-US SEFS.

 

Presenters:

Daniel Waldman is the head of the Derivatives Practice Group at Arnold & Porter Kaye Scholer. Mr. Waldman is active in representing clients in investigations by the Commodity Futures Trading Commission (CFTC) and the Federal Energy Regularity Commission (FERC). He also represents exchanges, brokers, investment funds, and other market participants in regulatory matters before the CFTC and with respect to derivatives legislation before Congress. Mr. Waldman also continues to handle complex litigation in the areas of antitrust, securities, and derivatives law.

From 1996 to 1999, Mr. Waldman served as General Counsel for the CFTC, the federal governmental agency that oversees the futures and commodity option markets. At the CFTC, his responsibilities included managing litigation at the trial and appellate levels, advising the Commission on regulatory and adjudicatory matters, and representing the CFTC staff on the President's Working Group on Financial Markets.

Andrew Shipe concentrates his practice on the regulation of derivatives, securities, and intermediaries in the financial markets.  Mr. Shipe joined Arnold & Porter after service with the Securities and Exchange Commission and the Commodity Futures Trading Commission. His experience includes representing exchanges and financial firms with respect to compliance with the federal securities and derivatives laws.  With the SEC and CFTC, Mr. Shipe was responsible for the formulation of regulations governing financial intermediaries and handling requests for exemptions from regulations.  He actively counsels financial firms as to the relationships between banks, broker-dealers, investment advisers and others.

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