Michael Philipp

Background

About Michael Philipp

I counsel clients in derivatives, securities, and digital asset transactions and regulation. My advice encompasses federal, state, and self-regulatory organization (SRO) regulation, compliance, and enforcement matters. Investment managers, proprietary trading firms, dealers, banks, brokerage firms, exchanges, and commercial end users turn to me for guidance in connection with exchange-traded and over-the-counter derivative instruments and cryptocurrencies. I bring more than 30 years of experience counseling market participants and investment managers through business and regulatory cycles and trends impacting markets, including greater globalization and innovation in products and market infrastructures. Publications: 7/13/2021 - UK Commodity Derivatives Regime: FCA Not Enforcing Position Limits as HM Treasury Consults on Changes 6/17/2021 - Basel Committee Proposes Risk-Based Regulatory Capital Treatment for Many Cryptoassets 4/28/2021 - OCC Conditionally Approves Trust Company Charter for Crypto Firm 3/9/2021 - National Futures Association Proposes New Reporting Requirements for Commodity Pool Operators 1/19/2021 - FinCEN Proposes Crypto Reporting and Recordkeeping Requirements 1/19/2021 - Want to Hedge Your Bets? CFTC Requests Public Comment on RSBIX NFL Event Contracts 11/11/2020 - CFTC Amends Real-Time Swap Public Reporting Requirements 11/4/2020 - New SEC Rule Will Regulate Registered Fund Investments in Derivatives 10/26/2020 - CFTC Adopts Exemptive Relief for Non-US CPOs of Offshore Commodity Pools and Other Foreign Intermediaries 10/12/2020 - CFTC Streamlines Form CPO-PQR 10/9/2020 - CFTC Subcommittee Issues ‘First of Its Kind’ Climate Risk Report 10/1/2020 - ‘Let’s Be Civil’: White House Due Process Memo May Improve Enforcement in Financial Regulatory Matters 7/8/2020 - Final CFTC Rules Prohibit Post–Trade Name Give-Up for Swaps 7/6/2020 - Farewell Reg AT, Hello Electronic Trading Principles 6/16/2020 - CFTC Adopts Statutory Disqualification Requirement for Exempt CPOs 6/12/2020 - Effective Compliance Oversight of Energy Commodity Trading in a Remote Trading Environment 6/8/2020 - CFTC Proposes Relief for Non-US Commodity Pool Operators 6/5/2020 - CFTC Delays Phase 5 Initial Margin Implementation Date 5/20/2020 - Change in the US Regulatory Status of the KRX300 Futures Contract 5/12/2020 - CFTC Issues Additional Relief in Response to COVID-19 4/9/2020 - Global Standard Setters Extend Deadlines for Uncleared Margin Requirements