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Proprietary Trading Firms

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Overview

Our Clients

Katten represents a broad cross section of proprietary trading firms, both large and small, in the United States and Europe.

Our Services

Katten attorneys address the distinctive needs of proprietary trading firms. With our extensive experience in transactional, regulatory and litigation matters, we represent firms on a broad spectrum of issues, including highly complex matters. We advise clients on corporate formation structures, regulatory investigations, trading questions, regulatory reporting questions, brokerage and derivatives documentation, tax planning, intellectual property matters, labor and employment law issues, mergers and acquisitions, joint ventures, and seed deals.

Additionally, our attorneys located in the United States and in London advise proprietary trading firms on establishing trading operations outside their home countries. For instance, we regularly work with firms based in Europe seeking to trade in US markets by helping them structure operations, obtain the necessary approvals and registrations, and establish written supervisory procedures. Conversely, we help US firms obtain authorizations to trade in Europe or Asia.

With a myriad of new regulations affecting proprietary trading firms proposed by both the SEC and CFTC in the United States and under the Markets in Financial Instruments Directive II (MiFID II) in the European Union, Katten provides efficient, streamlined solutions that help trading firms comply with the relevant regulations no matter where they want to trade.

Many Katten attorneys have held senior positions with regulatory agencies or have been in-house counsel at financial services firms. The combination of our deep knowledge and versatility enables us to help clients navigate a complex regulatory environment.

Recognition

Investment Funds: Hedge Funds (Nationwide), 2016–2017
Capital Markets: Derivatives (Nationwide), 2016–2017
Alternative/Hedge Funds, 2016–2017
Financial Services, 2012
Derivatives and Futures Law (National), 2014–2017
Derivatives and Futures Law (Chicago), 2014–2017
Investment Funds: Hedge Funds, 2014
Private Funds/Hedge Funds Law (National), 2014–2017
Private Funds/Hedge Funds Law (Chicago), 2014–2017
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Recognition

Investment Funds: Hedge Funds (Nationwide), 2016–2017
Capital Markets: Derivatives (Nationwide), 2016–2017
Alternative/Hedge Funds, 2016–2017
Financial Services, 2012
Derivatives and Futures Law (National), 2014–2017
Derivatives and Futures Law (Chicago), 2014–2017
Investment Funds: Hedge Funds, 2014
Private Funds/Hedge Funds Law (National), 2014–2017
Private Funds/Hedge Funds Law (Chicago), 2014–2017
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