About Carl E. Kennedy
A former policy advisor to Commissioner Scott O'Malia at the US Commodity Futures Trading Commission (CFTC), a primary drafter of several CFTC rules and a key player in the CFTC's adoption of guidelines in implementing the Dodd-Frank Act, Carl Kennedy has deep experience in financial services and government matters. Financial institutions, asset managers, clearinghouses, hedge funds, proprietary trading firms and other such clients look to him for assistance in business, specifically regulatory, compliance, transactional, and enforcement-related issues in the commodities and derivatives markets.
Lead attorney implementing regulatory compliance on Dodd-Frank rules
Prior to working at Katten, Carl was a senior in-house counsel at a large investment bank, where he offered support on legal and regulatory matters to the bank's macro markets and clearing businesses and advised on implementing global derivatives regulatory reforms, including regulations that were published under Title VII of Dodd-Frank.
Formerly an attorney to a global trade association, which represented the hedge fund industry on US and international legislative and regularly policy issues, Carl managed regulatory and legislative advocacy on over-the-counter derivatives reform, and his actions ultimately led to the passage of Title VII of the Dodd-Frank Act.
- Financial services
- Financial services regulatory and compliance
- Futures and derivatives
- Proprietary trading firms
June 7, 2019
June 6, 2019
Presentations and Events
PresenterSeptember 24, 2019
The National Futures Association's Proposed Revised Requirements for the Supervision of Branch Offices and Guaranteed Introducing Brokers. Get Prepared!PresenterJune 20, 2019