Mr. Patent regularly counsels businesses with respect to commodity interest trading compliance and the legal requirements governing trading in over-the-counter derivatives and exchange-traded futures, including both international and U.S. markets. His clients include, among others, hedge funds, currency dealers, commodity pool operators, commodity trading advisors, futures commission merchants, and introducing brokers.
He services diverse client needs, including advice regarding the registration, disclosure, and other regulatory requirements of the Commodity Futures Trading Commission (“CFTC”) and National Futures Association (“NFA”), preparation of internal compliance procedures and policies for trading operations, time-sensitive legal advice concerning particular market positions and strategies, and compliance training.
Articles in the National Law Review database by Lawrence B. Patent