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Tag Archives: Jim Falvey

Alphabet Soup: The DAO, ETH, ICOs and the SEC Blog,Feature,Fintech,Mwiki,ReformWiki

By Jim Falvey Technology usually outpaces the law. It can take months, if not years, for legislators, regulators and courts to gain an understanding of technology and then to apply existing law to the new technology and/or create new laws for the technological developments. In the remarkable world of cryptocurrencies and distributed ledger technology (often referred to as “Blockchain”), we are seeing both occur. In May 2016, a virtual organization called The DAO, which stands for Decentralized Autonomous Organization, came onto the scene in the Ethereum world. For the uninitiated, the Ethereum Blockchain sponsors the second most significant virtual currency…

Guest Commentary: CFTC Update from Jim Falvey, Green Key Technologies Commentary,Regulation

Jim Falvey

This past week the futures industry descended upon Boca Raton, Florida for its annual conference where leaders of the industry rub elbows with each other, as well as with internaonal regulators. The so-called “Boca Conference” has been around for 39 years. In some editions, “headline creating” news is made, such as in 2007 when the IntercontinentalExchange (“ICE”) announced that it was making an unsolicited bid for the Chicago Board of Trade “CBOT”). While the executives of ICE were running around Boca promoting the merits of its proposed transaction, the leaders of the Chicago Mercantile Exchange (“CME”) were on the golf course…

Guest Commentary: Record Retention, Voice Recording and Disaster Recovery: Traps for CFTC/NFA Market Participants Commentary,Regulation

Jim Falvey

Guest commentary by Jim Falvey. Jim Falvey, general counsel for Green Key Technologies, has been an attorney in the derivatives space for over 15 years. He has served as general counsel of Eurex US and IntercontinentalExchange, as assistant general counsel for CME Group and, more recently, as general counsel and corporate secretary of R.J. O’Brien & Associates, a Chicago-based futures commission merchant. Fifteen years ago Before discussing Commodity Futures Trading Commission (“CFTC”) record retention, voice recording and disaster recovery rules, I think it’s worth reviewing the downside of not complying with these rules up front. Based on my experience, I…

Guest Commentary: SEFs Versus Blocks Commentary,Regulation

Jim Falvey

Guest commentary by Jim Falvey. Jim Falvey, general counsel for Green Key Technologies, has been an attorney in the derivatives space for over 15 years. He has served as general counsel of Eurex US and IntercontinentalExchange, as assistant general counsel for CME Group and, more recently, as general counsel and corporate secretary of R.J. O’Brien & Associates, a Chicago-based futures commission merchant. His regulatory column appears weekly in Green Key Markets’ research newsletter. To subscribe to the newsletter click HERE. A long time ago, in a regulatory environment that seems far away, Congress passed and President Bill Clinton signed the…

Guest Commentary: Futurization or Swapification: The Winner Is? Commentary,Regulation

Jim Falvey

Guest commentary by Jim Falvey. Jim Falvey, general counsel for Green Key Markets, has been an attorney in the derivatives space for over 15 years. He has served as general counsel of Eurex US and IntercontinentalExchange, as assistant general counsel for CME Group and, more recently, as general counsel and corporate secretary of R.J. O’Brien & Associates, a Chicago-based futures commission merchant. He also sits on the advisory board of CMDirect, a web-based commodity trading platform. His regulatory column appears weekly in Green Key Markets’ ethanol research newsletter. To subscribe to the newsletter click HERE. Since the passage of the…

Guest Commentary: Creative Settlements Commentary,Regulation

Jim Falvey

Guest commentary by Jim Falvey. Jim Falvey, general counsel for Green Key Markets, has been an attorney in the derivatives space for over 15 years. He has served as general counsel of Eurex US and IntercontinentalExchange, as assistant general counsel for CME Group and, more recently, as general counsel and corporate secretary of R.J. O’Brien & Associates, a Chicago-based futures commission merchant. He also sits on the advisory board of CMDirect, a web-based commodity trading platform. Long ago in the day and age of open outcry (okay, it wasn’t that long ago – and is still going on in some…

Jim Falvey – Derivatives Attorney Interview,Regulation,Video

Jim Falvey has been an attorney in the exchange and FCM space for over 15 years. He has served as general counsel of Eurex US and IntercontinentalExchange, as assistant general counsel for CME Group and, most recently, as general counsel and corporate secretary of R.J. O’Brien & Associates. He also sits on the advisory board of CMDirect, a web-based commodity trading platform. John Lothian News editor-at-large Doug Ashburn spoke with Falvey about the MF Global bankruptcy, the Volcker Rule, protection of segregated funds, conflicts of interest, and other compliance issues related to the Dodd-Frank Act.