About Stephen R. Morris
With deep experience as in-house counsel at a leading multinational financial institution and as a trial attorney with the Commodity Futures Trading Commission (CFTC), Stephen Morris understands the business goals of his clients and the regulatory challenges they face.
Counsel rooted in regulatory and financial institution experience
The regulatory environment surrounding futures and derivatives is constantly evolving. Stephen is well-versed in this sector and is a trusted advisor to clients with needs ranging from routine documentation matters to regulatory investigations and enforcement issues. As a senior in-house coverage attorney for the institutional listed derivatives and clearing business of a top-tier broker-dealer/futures commission merchant (FCM), with over 14 years' experience in that role, he has deep experience with all aspects of the law and regulation governing the execution and clearing of futures, equity options and cleared swaps.
Practice Focus
- Futures, equity options and cleared swaps regulation
- Broker-dealer regulation
- CFTC-related investigations and enforcement actions
- FCM compliance manual and compliance notice development and review
- Cryptocurrency and digital asset regulatory compliance
News
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March 14, 2024
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December 28, 2023
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September 27, 2023
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June 9, 2023
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April 21, 2023
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April 8, 2022
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April 4, 2022
Publications
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NewsletterAuthor
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October 23, 2024
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September 4, 2024
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May 2024
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January/February 2024
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December 22, 2023
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December 19, 2023
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October 16, 2023
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June 23, 2023
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Quick Reads
Presentations and Events
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July 25, 2024Panelist
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July 17, 2024Presenter
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April 24–26, 2024Moderator | Role of Legal and Compliance in Cybersecurity and Crisis Management
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February 1, 2024
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October 2–3, 2023Presenter | An Introduction to the FIA Tech/Katten FSF Databank
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July 12, 2023
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June 29, 2023
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October 13, 2022
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June 29, 2022
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