Regulatory and Compliance Law Firm

Financial regulatory frameworks are constantly evolving in the United States derivatives and equity markets and around the world. The regulatory burden imposed on financial market participants to stay in compliance and meet increased calls for transparency are increasing. The costs of non-compliance are even steeper.

What is Regulatory & Compliance Practice?

Regulatory and compliance practice deals with the complex laws and regulations governing the securities and derivatives industries, including the Commodity Futures Modernization Act of 2000, the Commodity Exchange Act, the Gramm-Leach-Bliley Act, the Securities Acts of 1933 and 1934, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the SEC and CFTC regulations, the rules of the various derivatives exchanges and clearinghouses and other industry self-regulatory organizations and the “Blue Sky” state securities laws and the changing regulatory regime in the European Union which includes compliance for US and UK firms dealing with entities and investors in the EU. We have experience with the EU’s Sustainable Finance Disclosure Regulation (SFDR) and the Taxonomy Regulation-collectively referred to as the ESG Regulations.“ 

Regulation & Compliance

Our Futures and Derivatives Practice is dedicated to addressing the legal, compliance, transactional, and regulatory requirements of financial market participants involved in the dynamic landscape of the financial markets. We specialize in providing comprehensive guidance to our clients as they navigate the complex regulatory environment governed by various regulatory bodies, including the CFTC, the National Futures Association (NFA), the US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and other pertinent agencies and self-regulatory organizations (SROs).

Our Founding Attorney, as an experienced futures and derivatives lawyer, brings a profound understanding of the intricate web of regulations and SRO rules that impact financial market participants, along with an insider’s understanding of the financial trading markets.  

Over the years we have represented a wide array of clients, including hedge funds, trading groups, institutional and professional traders, exchange directors, start-ups, mutual funds, alternative asset managers, and other financial market participants. Our involvement spans a broad spectrum of legal, compliance, transactional, and regulatory matters, particularly those related to derivatives and other complex financial instruments. 

Our extensive expertise encompasses:

• Offering strategic counsel to institutional clients addressing their registration, operational compliance, and cross-border access challenges.
• Collaborating with trading platform developers and startups in the Fintech space to structure their operations in compliance with regulatory requirements and to guide them on enforcement risk and a lack of clarity in the regulatory regime, where it exists.
• Assisting Commodity Trading Advisors, Commodity Pool Operators, Registered Investment Advisors, and Introducing Brokers in their registration, disclosure, and other compliance endeavors.
• Advising Commodity Pool Operators, Commodity Trading Advisors, Introducing Brokers, Futures Commission Merchants, and hedge funds on matters pertaining to registration, ongoing compliance obligations, disclosure, and reporting.
• Providing guidance to end users on regulatory reporting, speculative position limits, and trading-related issues.
• Addressing concerns related to information barriers, conflicts of interest, sales practices, trading issues, as well as margin and net capital requirements.
• Facilitating cross-border transactions for clients and aiding them in achieving compliance with, or exemption from, US commodity futures and securities regulations. We partner with comparable firms in other countries when needed. 

Futures, Derivatives and Securities Enforcement 

For the past 23 years, R Tamara de Silva and the De Silva Law Offices, has represented individuals and entities in a wide range of regulatory and administrative proceedings before trading exchanges, CFTC, FINRA, NFA, and the U.S. Department of Justice (DOJ), including: 

• Trading Firms 
• Whistleblowers 
• Commodity Trading Advisors 
• Commodity Pool Operators 
• Brokerage Houses 
• Hedge Funds 
• Introducing Brokers 
• Futures Commission Merchants 
• Trading Exchange Officials 
• Trading Exchange Directors 
• Investment Banking Firms 
• Registered Representatives & Traders 

R Tamara de Silva also represents officers, board members and other market participants in investigations that have parallel criminal and civil exposure.  

Contact the De Silva Law Offices to help resolve litigation and investigations at all levels, including those involving:

• Commodity Futures Trading Commission 
• Securities and Exchange Commission 
• Department of Justice 
• Self-regulatory organizations 
• Private civil litigation 
• White collar criminal charges