Futures and Derivatives

Katten’s Futures and Derivatives Group advises a broad spectrum of domestic and international banks and brokerage firms, fund managers, trading advisors and proprietary trading firms on all aspects of exchange-traded futures and over-the-counter derivatives. We also represent U.S. and foreign derivatives exchanges and clearing organizations and have acted for futures and derivatives trade associations. Our deep understanding of both futures and over-the-counter derivatives makes us uniquely qualified to help clients respond to the convergence of these markets mandated by the Dodd-Frank Act.

Our collaborative, comprehensive approach to legal services ensures that our clients receive the full benefit of our regulatory, product, transaction, tax, ERISA and litigation experience. Our attorneys have deep familiarity with the following subjects:

• Futures and other exchange-traded products
• OTC derivatives across all asset classes and transaction types
• Drafting and negotiation of standardized and customized transaction documents
• Collateral and margin arrangements
• Compliance procedures, trading procedures, sales practices, recordkeeping and reporting, and anti-money laundering regulations
• Contract termination and enforcement following insolvency and other defaults
• CFTC and SEC registrations and interpretation of rules and regulations
• Formal and informal inquiries and investigations before regulatory bodies
• Resolution of customer complaints, arbitration and litigation
• Formation, merger, acquisition and disposition of financial services firms

Our extensive, real-world experience in and with the financial markets helps us find solutions for our clients that are both commercially practical and compliant with applicable law and regulations. Members of the Futures and Derivatives Group have worked in-house for a wide range of industry regulators and participants, including the CFTC, SEC, DOJ, NYSE, and large national and international investment banks.

Professionals