Kenneth M. Rosenzweig

Transcription

1 Kenneth M. Rosenzweig Partner West Monroe Street Chicago, IL Practices FOCUS: Financial Services Futures and Derivatives Financial Services Regulatory and Compliance Financial Services Litigation Recognition Best Lawyers in America, AV Preeminent Peer Review Rating by LexisNexis Martindale-Hubbell, 2013 Super Lawyers, Legal 500, 2013 Leading Lawyers Network, 2014 Chambers USA, 2015 Education JD, Georgetown University Law Center Kenneth M. Rosenzweig focuses his practice on financial services matters, with an emphasis on the trading and clearing of financial instruments. Ken represents derivatives clearing organizations, designated contract markets and swap execution facilities, in addition to futures commission merchants, banks and other commercial participants in the exchange-traded and over-the-counter derivatives markets. Formerly Assistant Chief Counsel and Associate Director in the Division of Trading and Markets of the Commodity Futures Trading Commission (CFTC) and the CFTC's Liaison to the National Futures Association, Ken represents clients in the development of crossmargining programs and facilities for the deposit of cleared swaps collateral, in enforcement and disciplinary proceedings before the CFTC and self-regulatory organizations and in the development of policies and compliance procedures required by the Dodd-Frank Act. Ken is a frequent speaker at industry and bar association conferences. Prior to joining Katten, he was a partner at law firms Mayer Brown and Schiff Hardin. Memberships Futures and Derivatives Law Report, Board of Editors American Bar Association, Committee on Regulation of Futures and Derivative InstrumentsVice Chair Futures Industry Association The Chicago Bar Association, Committee on Futures and Derivatives LawPast Chair Advisories CFTC Issues Updated Relief for Cross-Border Trading of Swaps on Qualifying Multilateral Trading Facilities in the European Union (April 24, 2014) CFTC Issues Relief for Cross-Border Trading of Swaps on Qualifying Multilateral Trading Facilities in the European Union (February 14, 2014) CFTC Proposes Revised Position Limit Rules (November 12, 2013) CFTC Proposes Revised Aggregation Rules (November 7, 2013)

2 BA, Northwestern University Bar Admissions Illinois Court Admissions US District Court, Northern District of Illinois CFTC Approves Final Rule Requiring Recording of Oral Communications (December 20, 2012) The CFTC's Proposed Guidance on Cross-Border Swap Regulation and Proposed Exemptive Order (July 10, 2012) CFTC and SEC Adopt Final Rules Further Defining "Swap Dealer," "Major Swap Participant" and "Eligible Contract Participant" (May 10, 2012) Managers of Private Investment Vehicles Including Private Equity, Real Estate and Securitization Vehicles That Use Futures or OTC Derivatives Should Consider Claiming CFTC 4.13(a)(4) Exemption by April 23, 2012 (April 20, 2012) All Advisers to Registered Investment Companies Need to Evaluate Their Exposure to CFTC Regulation After Recent Rule Amendment (February 22, 2012) CFTC Adopts Significant Changes to CPO and CTA Registration and Compliance Requirements (February 14, 2012) MiFID II How It Affects Proprietary Traders and Algorithmic Traders (October 31, 2011) Guidelines from European Regulator Focus on High Frequency and Algorithmic Trading Obligations (August 18, 2011) CFTC, SEC Provide Dodd-Frank Relief for Effective Date Concerns (June 20, 2011) CFTC Proposes Substantial Amendments to Speculative Position Limits (February 22, 2011) CFTC and SEC Propose Definitional Tests for Swap Dealers and Major Swap Participants (December 17, 2010) CFTC Adopts Interim Final Swap Reporting Rule (October 6, 2010) Wall Street Transparency and Accountability Act of 2010 Introduces Extended Period of Regulatory Uncertainty (August 4, 2010) CFTC Issues Advisory Regarding Offer and Sale of Foreign Security Futures Products to US Persons (June 16, 2010) Financial Services Regulatory Reform Legislation Moves Forward (May 27, 2010) CFTC Proposes Position Limits and Exemptions for Certain Energy Contracts (January 27, 2010) Treasury Proposes Legislation Overhauling Regulation of Over-the-Counter Derivatives (August 13, 2009) US Treasury Proposes Regulatory Framework for OTC Derivatives (May 15, 2009) CFTC Staff Issues Advisory Regarding Recordkeeping Requirements (February 10, 2009) SEC Approves Credit Default Swap Exemptions (January 16, 2009)

3 OFAC Issues Guidance Regarding Scope of OFAC Compliance Programs (November 7, Articles Co-author, CFTC Approves Final Rule Requiring Recording of Oral Communications, Journal of Investment Compliance (April 26, 2013) Co-author, SEC Approves Credit Default Swap Exemptions, Derivatives (April 2009) Author, Over-The-Counter and Exchange-Traded Transactions Effected by Banks, Brokers and Dealers with US Customers and Counterparties (February 2007) Author, An Introduction to Portfolio Margining, Futures and Derivatives Law Report, Volume 26, Number 11 (December 2006) Newsletters Corporate and Financial Weekly Digest - Volume IX, Issue 36 (September 12, 2014) Corporate and Financial Weekly Digest - Volume VIII, Issue 44 (November 15, 2013) Corporate and Financial Weekly Digest - Volume VIII, Issue 43 (November 8, 2013) Corporate and Financial Weekly Digest - Volume VIII, Issue 32 (August 16, 2013) Corporate and Financial Weekly Digest - Volume VIII, Issue 13 (March 29, 2013) Corporate and Financial Weekly Digest - Volume VIII, Issue 11 (March 15, 2013) Corporate and Financial Weekly Digest - Volume VIII, Issue 9 (March 1, 2013) Corporate and Financial Weekly Digest - Volume VIII, Issue 7 (February 15, 2013) Corporate and Financial Weekly Digest - Volume VIII, Issue 6 (February 8, 2013) Corporate and Financial Weekly Digest - Volume VIII, Issue 5 (February 1, 2013) Corporate and Financial Weekly Digest - Volume VIII, Issue 3 (January 18, 2013) Corporate and Financial Weekly Digest - Volume VIII, Issue 1 (January 4, 2013) Corporate and Financial Weekly Digest - Volume VII, Issue 47 (December 21, 2012) Corporate and Financial Weekly Digest - Volume VII, Issue 46 (December 14, 2012) Corporate and Financial Weekly Digest - Volume VII, Issue 45 (December 7, 2012) Corporate and Financial Weekly Digest - Volume VII, Issue 40 (October 26, 2012) Corporate and Financial Weekly Digest - Volume VII, Issue 39 (October 19, 2012)

4 Corporate and Financial Weekly Digest - Volume VII, Issue 37 (October 5, 2012) Corporate and Financial Weekly Digest - Volume VII, Issue 36 (September 28, 2012) Corporate and Financial Weekly Digest - Volume V, Issue 45 (November 19, 2010) Corporate and Financial Weekly Digest - Volume V, Issue 44 (November 12, 2010) Corporate and Financial Weekly Digest - Volume V, Issue 43 (November 5, 2010) Corporate and Financial Weekly Digest - Volume V, Issue 42 (October 29, 2010) Corporate and Financial Weekly Digest - Volume IV, Issue 20 (May 22, 2009) Corporate and Financial Weekly Digest - Volume IV, Issue 19 (May 15, 2009) Corporate and Financial Weekly Digest - Volume IV, Issue 18 (May 8, 2009) Corporate and Financial Weekly Digest - Volume IV, Issue 17 (May 1, 2009) Corporate and Financial Weekly Digest - Volume IV, Issue 16 (April 24, 2009) Corporate and Financial Weekly Digest - Volume IV, Issue 15 (April 17, 2009) Corporate and Financial Weekly Digest - Volume IV, Issue 14 (April 10, 2009) Corporate and Financial Weekly Digest - Volume IV, Issue 13 (April 3, 2009) Corporate and Financial Weekly Digest - Volume IV, Issue 12 (March 27, 2009) Corporate and Financial Weekly Digest - Volume IV, Issue 9 (March 6, 2009) Corporate and Financial Weekly Digest - Volume IV, Issue 8 (February 27, 2009) Corporate and Financial Weekly Digest - Volume IV, Issue 7 (February 20, 2009) Corporate and Financial Weekly Digest - Volume IV, Issue 6 (February 13, 2009) Corporate and Financial Weekly Digest - Volume IV, Issue 5 (February 6, 2009) Corporate and Financial Weekly Digest - Volume IV, Issue 3 (January 23, 2009) Corporate and Financial Weekly Digest - Volume IV, Issue 1 (January 9, 2009) Corporate and Financial Weekly Digest - Volume III, Issue 46 (December 19, Corporate and Financial Weekly Digest - Volume III, Issue 45 (December 12, Corporate and Financial Weekly Digest - Volume III, Issue 44 (December 5, Corporate and Financial Weekly Digest - Volume III, Issue 43 (November 21, Corporate and Financial Weekly Digest - Volume III, Issue 42 (November 14, Corporate and Financial Weekly Digest - Volume III, Issue 41 (November 7, Corporate and Financial Weekly Digest - Volume III, Issue 39 (October 24,

5 Corporate and Financial Weekly Digest - Volume III, Issue 37 (October 10, Corporate and Financial Weekly Digest - Volume III, Issue 36 (October 3, Corporate and Financial Weekly Digest - Volume III, Issue 35 (September 26, Corporate and Financial Weekly Digest - Volume III, Issue 34 (September 19, Corporate and Financial Weekly Digest - Volume III, Issue 33 (September 12, Corporate and Financial Weekly Digest - Volume III, Issue 32 (September 5, Corporate and Financial Weekly Digest - Volume III, Issue 31 (August 22, Corporate and Financial Weekly Digest - Volume III, Issue 30 (August 15, Corporate and Financial Weekly Digest - Volume III, Issue 29 (August 8, Corporate and Financial Weekly Digest - Volume III, Issue 28 (August 1, Corporate and Financial Weekly Digest - Volume III, Issue 27 (July 25, Corporate and Financial Weekly Digest - Volume III, Issue 25 (July 11, Corporate and Financial Weekly Digest - Volume III, Issue 24 (June 27, Corporate and Financial Weekly Digest - Volume III, Issue 23 (June 20, Corporate and Financial Weekly Digest - Volume III, Issue 22 (June 13, Corporate and Financial Weekly Digest - Volume III, Issue 21 (June 6, Corporate and Financial Weekly Digest - Volume III, Issue 20 (May 30, Corporate and Financial Weekly Digest - Volume III, Issue 19 (May 16, Corporate and Financial Weekly Digest - Volume III, Issue 17 (May 2, Corporate and Financial Weekly Digest - Volume III, Issue 16 (April 25, Corporate and Financial Weekly Digest - Volume III, Issue 14 (April 11, Corporate and Financial Weekly Digest - Volume III, Issue 12 (March 28, Corporate and Financial Weekly Digest - Volume III, Issue 11 (March 14, Corporate and Financial Weekly Digest - Volume III, Issue 7 (February 15, Corporate and Financial Weekly Digest - Volume III, Issue 6 (February 8, Corporate and Financial Weekly Digest - Volume III, Issue 5 (February 1, Corporate and Financial Weekly Digest - Volume III, Issue 3 (January 18, Corporate and Financial Weekly Digest - Volume III, Issue 1 (January 4, Corporate and Financial Weekly Digest - Volume II, Issue 46 (December 14, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 45 (December 7, 2007)

6 Corporate and Financial Weekly Digest - Volume II, Issue 44 (November 30, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 43 (November 16, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 41 (October 26, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 40 (October 19, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 39 (October 12, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 38 (October 5, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 37 (September 28, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 36 (September 21, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 34 (September 7, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 33 (August 24, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 32 (August 17, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 31 (August 10, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 30 (August 3, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 29 (July 27, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 26 (June 29, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 25 (June 22, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 23 (June 8, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 22 (June 1, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 21 (May 25, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 20 (May 18, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 19 (May 11, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 18 (May 4, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 17 (April 27, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 16 (April 20, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 14 (April 6, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 13 (March 30, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 12 (March 23, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 11 (March 16, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 10 (March 9, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 9 (March 2, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 7 (February 16, 2007)

7 Corporate and Financial Weekly Digest - Volume II, Issue 6 (February 9, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 5 (February 2, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 4 (January 26, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 3 (January 19, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 2 (January 12, 2007) Corporate and Financial Weekly Digest - Volume II, Issue 1 (January 5, 2007) Corporate and Financial Weekly Digest - Volume I, Issue 48 (December 21, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 47 (December 15, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 46 (December 8, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 45 (December 1, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 44 (November 17, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 43 (November 10, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 42 (November 3, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 40 (October 20, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 39 (October 13, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 38 (October 6, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 37 (September 29, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 36 (September 22, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 34 (September 8, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 33 (August 25, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 32 (August 18, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 30 (August 4, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 28 (July 21, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 27 (July 14, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 25 (June 23, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 23 (June 9, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 22 (June 2, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 20 (May 19, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 18 (May 5, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 17 (April 28, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 16 (April 21, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 14 (April 7, 2006)

8 Corporate and Financial Weekly Digest - Volume I, Issue 13 (March 31, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 12 (March 24, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 11 (March 17, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 10 (March 10, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 9 (March 3, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 8 (February 24, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 7 (February 17, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 6 (February ) Corporate and Financial Weekly Digest - Volume I, Issue 5 (February 3, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 4 (January 27, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 3 (January 20, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 2 (January 13, 2006) Corporate and Financial Weekly Digest - Volume I, Issue 1 (January 6, 2006) Speaking Engagements & Presentations Vice-chair ABA Business Law Section Derivatives and Futures Law Committee Winter Meeting, Naples, Florida (January 24 26, 2013) Panelist, Cleared Swaps Title VII of Dodd-Frank: The New Derivatives Regime, New York, New York (January 21, 2011) Presenter OTC Derivatives Current Developments, Chicago, Illinois (June 25, 2009) Speaker Conference on the Regulation of Futures, Derivatives and OTC Products, National Harbor, Maryland (May 13 15, 2009) Moderator The Future of OTC Derivatives, New York, New York (May 12, 2009)