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For a third straight year, K&L Gates is proud to be named the Law Firm of the Year for Securities Regulation in the 2016 U.S. News-Best Lawyers® survey. View our full rankings.

K&L Gates’ Derivatives & Structured Products practice is a substantial part of our general financial services, investment management, public policy, energy, commodities, finance, and regulatory enforcement practices. 

We capitalize on our institutional knowledge and achieve efficiencies for the benefit of clients by establishing multidisciplinary teams of practitioners in investment management, securities, commodity trading, tax, broker-dealer, securitization, bankruptcy, bank regulatory, structured products, ERISA, commercial and residential real estate, the Uniform Commercial Code, distressed debt, securities lending, repurchase and reverse-repurchase transactions, and international law. 

Derivatives and structured products trade in markets throughout the world and require a global legal platform.  This is especially true in light of current international reform efforts. By leveraging our experience from our global offices including those in key financial markets, we add value and provide a competitive cost advantage compared to other firms whose financial services practices may lack our breadth and depth.

In the United States, the U.S. News-Best Lawyers® 2016 survey ranked K&L Gates as a national first-tier law firm in the areas of Derivatives and Futures Law.

Areas of Practice

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Managing Partner, Dallas Office
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Of Counsel
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Senior Associate
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Representing a Federal Home Loan Bank in the structuring of a certificate of deposit program under which the returns on the CDs were predominantly based on changes in the S&P 500 Index.
Representing clients in many CFTC, SEC, FERC, and DOJ investigations and prosecutions relating to derivatives trading including claims of manipulation, fraud, disclosure, and record-keeping.
Advising on available exemptions from registration as CPOs and CTAs and registering firms as CPOs, CTAs, futures commission merchants, and introducing brokers.
Preparing, negotiating, and reviewing documentation for credit default swaps and related structured products and advising on the interpretation and performance of credit derivatives contracts.
Representing end-users in the preparation, negotiation, and execution of many hundreds of master agreements and related documentation covering swaps, options, and forward transactions on a full range of underlying assets and indices.
Representing the equity investor in the structuring and execution of a synthetic investment in a large synthetic CDO, and representing an investment manager in the process of structuring similar transactions.
Representing the main participants in U.S. and cross-border hedge-fund linked structured products, including fund of hedge funds managers, investors, and swap counterparties.
Reviewing and negotiating account agreements between registered investment companies, private funds, ERISA plans, and other clients and futures commission merchants or broker-dealers regarding the trading of futures contracts and options.
Negotiating stable value contracts.
Preparing, negotiating, and reviewing nonstandard equity derivatives documentation, including variable-delivery forward transactions.