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Carl E. Kennedy

New York Office

Carl Kennedy is a partner in Katten's Financial Services practice. He applies his extensive prior financial services and government experience to assisting financial institutions, clearing firms, asset managers, clearinghouses, exchanges, hedge funds and proprietary trading firms with a full range of regulatory, compliance, transactional and enforcement-related issues in the commodities and derivatives markets.

Carl's prior professional experience includes working as senior in-house legal counsel at a large investment bank and futures commission merchant, providing legal advice and support to the bank’s macro markets and clearing businesses on a variety of legal and regulatory matters. His work also included advising the bank on the implementation of regulations published under Title VII of the Dodd-Frank Act and other global derivatives regulatory reforms.

In addition, Carl has worked as special counsel and policy advisor to Commissioner Scott O’Malia at the US Commodity Futures Trading Commission (CFTC). While at the CFTC, he advised the commissioner on a full range of legal, regulatory, enforcement and policy matters. He also played a key role in the CFTC’s adoption of several rulemakings and guidance in implementing the Dodd-Frank Act. He was also the primary drafter of several CFTC rulemakings and guidance, including the cross-border application of swap regulations, the process for determining block trade thresholds for swaps and several privacy-related rulemakings under Title X of the Dodd-Frank Act.

Carl also has previously acted as counsel to a global trade association, which represents the hedge fund industry on US and international legislative and regulatory policy issues. In that role, Carl managed the association’s regulatory and legislative advocacy related to over-the-counter derivatives reform, which ultimately led to the passage of Title VII of the Dodd-Frank Act.

Shown below is a selection of Carl’s engagements.

Carl E. Kennedy


  • JD, Temple University
  • MBA, Temple University
  • BA, Temple University, magna cum laude

Bar Admissions

  • District of Columbia
  • New York
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