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Commodity Futures Trading Commission (CFTC)

Market leaders and participants in the global financial markets may face a range of challenges when addressing the regulatory regime of the US Commodity Futures Trading Commission (CFTC), including: 

  • Understanding complex rulemakings affecting the global derivatives market
  • Navigating regulatory obligations governing dealers, intermediaries, end users, and other market participants
  • Responding to investigations and defending against high-stakes enforcement actions
  • Addressing novel regulatory issues in financial innovation and industry-transforming transactions

Latham’s Financial Institutions Group and related practices draw on institutional knowledge and experience to assist clients in achieving their goals. The team includes a former Chief Trial Attorney in the CFTC Division of Enforcement and regulatory practitioners with extensive experience advising market participants, including dealers, intermediaries, and buy-side clients such as investment funds, and fintech, energy, and other corporations, in their CFTC compliance efforts. Latham’s practitioners have been involved in several of the CFTC’s highest-profile enforcement matters in recent years and have actively assisted global market participants in their advocacy and compliance efforts with respect to CFTC rulemakings under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. The team provides strategic insight and creativity that helps clients obtain the best possible outcome in a CFTC enforcement proceeding or a complex regulatory matter.