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REPRESENTATIVE EXPERIENCE

Matthew J. Rogers

Advise asset managers and investment funds on the regulatory treatment of derivatives, including the Commodity Futures Trading Commission’s (CFTC) cross-border guidance and substituted compliance determinations.
Advise exchanges, futures commission merchants and investment advisers on financial services regulations, including regulatory requirements relating to cryptocurrencies.
Prepare comment letter on behalf of trade associations related to a Joint Audit Committee policy on margining of accounts held by the same beneficial owner.
Represent financial services and end-user clients in connection with swap and other derivatives transactions and in negotiating ISDAs, variable prepaid share forwards, futures agreements, cleared derivatives documentation, control agreements, and related agreements.
Advise trading platforms on the application of the CFTC’s core principles for swap execution facilities (SEFs) and designated contract markets (DCMs), including the regulatory implications of business requirements and operational and technology functions and the clearing services provided by the CFTC-registered clearing house (DCO).
Advise swap dealers and asset managers on compliance with the CFTC’s regulations including rules related to external business conduct standards and the trading of swaps on SEFs.
Advise funds and their boards and advisers on matters related to the establishment, registration, and operation of retail and institutional fund products, as well as trading practices, asset custody, proxy voting policies and issues, and compliance with SEC no-action and exemptive relief.
Represent clients in corporate acquisitions and transactional matters, reorganizations and change of control matters, and fund adoption transactions.
Negotiate third-party contracts relating to subadvisory, custody, administrative, transfer agency, distribution, and other necessary fund services agreements.
Draft and review fund organizational and offering documents and compliance and risk management policies and procedures.
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