Senior Fellow at Center for Financial Stability
I counsel SEC- and CFTC- regulated entities (broker-dealers, advisers, funds, pools and their operators, markets of various types) regarding regulatory and transactional issues. My regulatory practice addresses virtually all the securities-law and CFTC statutory and regulatory requirements applicable to market participants. My transactional practice focuses on over-the-counter derivatives, securities financing, and trading agreements (from prime brokerage to the use of asset-backed structures for the financing of investments in hedge funds), and various types of licensing and membership agreements. I serve as co-head of the Financial Services Department at Cadwalader. Numerous of the lawyers in the group, including myself, are cited in Chambers and in other similar publications for both regulatory and derivatives work. Last year, Cadwalader was named the leading derivatives firm in the world by Risk Magazine. In 2011, one of the derivatives transactions that I executed was named the derivatives deal of the year by Risk. I am also a frequent writer and speaker on financial regulation and policy. I have been very active in developing web-based compliance tools, online compliance manuals, research tools and document analysis systems, all of which are available through the Cadwalader Cabinet. In addition, I distribute a daily newsletter on financial regulatory developments. Persons interested in taking a look at, or subscribing to, the Cadwalader Cabinet may obtain more information at www.findknowdo.com.
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