Corporate Defense and Disputes

Important developments in U.S. securities law, white collar criminal defense, regulatory enforcement and other emerging issues impacting financial services institutions, publicly traded companies and private investment funds

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Kathy Rocklen

Kathy H. Rocklen has 40 years of experience and insights gained through a diverse practice, and understands the brokerage business from the street side, a regulator’s perspective and as a member of a global law firm. Kathy joined Proskauer in 2000 after serving as general counsel for a leading UK investment bank, a regulator for the New York Stock Exchange, and previous private practice.

Kathy counsels global financial institutions, investment advisers, hedge funds, private equity firms, commercial banks and self-regulatory organizations on regulatory, transactional, enforcement and litigated matters. She advises clients on the formation of regulated entities, SEC, SRO and state regulation and compliance, domestic and cross-border capital markets transactions, mergers, acquisitions and joint ventures, investment product development, internal investigations, defense of civil enforcement proceedings and criminal prosecutions, and securities arbitrations and litigation.

Kathy also serves as outside general counsel for clients, advising on regulated and commercial activities, corporate governance and director and officer liability, conflict and risk management, intercompany transactions and global defense and investigations.

Kathy is an adjunct professor of law at Fordham University School of Law, where she teaches broker-dealer regulation. She also serves as Vice Chair and Treasurer of New York Lawyers for the Public Interest, one of New York’s leading not-for-profit civil rights law firms, and is a former Vice President of the New York City Bar. Kathy is the past Chair of Proskauer’s Diversity Committee.

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CFTC Brings Enforcement Action for Swap Reporting Violations

The Commodity Futures Trading Commission (CFTC) recently brought its first enforcement action arising from the Dodd-Frank requirement that swap transactions be reported to a registered swap data repository (SDR). The CFTC has emphasized that the accuracy and completeness of swap reporting is essential to enhance market transparency, promote standardization and reduce systemic risk.… Continue Reading

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