With twenty years of experience working in leadership roles at an exchange, swap dealers and the Commodity Futures Trading Commission, Katherine Cooper offers financial market participants trusted guidance to help them chart their way through the often confusing legal and regulatory landscape. She provides clients not only the knowledge about the applicable law and regulations, but also an understanding of the ecosystem created by the interplay between different types of market participants trading derivatives and other financial products. This allows her to not only advise on compliance with the applicable law, regulations and rules, but also help clients identify and exploit strategic opportunities sometimes created by changes in the law to launch new products and services.
Katherine previously served as the Chief Regulatory Officer of NYSE Liffe US, a CFTC-registered futures exchange. In that role, she advised the Board and senior management on the extensive changes made to the Commodity Exchange Act and Commodity Futures Trading Commission’s regulations by the Dodd-Frank Act and related rulemakings. She worked to launch New York Portfolio Clearing, a CFTC-registered clearinghouse, which provided an innovative portfolio margining process that margined certain clearing participants’ cash, securities and related derivatives positions as a single portfolio. As Chief Regulatory Officer, Katherine also oversaw NYSE Liffe US’s self-regulatory program including the surveillance, investigation and prosecution of disciplinary actions involving violations of law, CFTC regulations and exchange rules.
Prior to NYSE Liffe US, Katherine worked in senior management roles in compliance at Barclays Capital and before that Citigroup Global Markets. She led teams of compliance professionals covering the public sales and trading of fixed income, currencies and commodities assets, as well as equity execution, equity derivatives, preferred securities and structured products businesses.
Before her work at Citigroup, Katherine served as a Trial Attorney and then Senior Trial Attorney in the Enforcement Division at the CFTC. In that role, she led teams of attorneys and investigators in the investigation and prosecution of enforcement actions involving frauds and other wrongdoing committed by brokerage houses, commodity trading advisers, commodity pool operators, foreign exchange boiler rooms, and exchange floor members. Some of these matters led Katherine to conduct joint or parallel investigations with other government authorities including the FBI, the US Postal Inspection Service, and the New York State Attorney General’s Office, as well as foreign government authorities in the United Kingdom, France and Germany.
Prior to her service with the CFTC, Katherine was an associate at Lankler Siffert & Wohl which represented clients in parallel civil and criminal investigations of anti-trust, securities and other matters, as well as in civil matters including commercial litigation, bankruptcy and real estate matters.
Before Lankler, Katherine was a litigation associate at Sullivan & Cromwell where she assisted in the representation of clients in securities, anti-trust, bankruptcy, breach of contract, foreclosure, and lien enforcement matters.
Katherine received her Juris Doctor from the University of Virginia School of Law and earned a Masters of Arts Degree in Philosophy from the Columbia University Graduate School of Arts and Sciences. She received her undergraduate degree in Philosophy & Economics from Columbia College. She is a member in good standing of the New York State Bar, and is an inactive member of the bars of the District of Columbia and Virginia. She is admitted to the United States District Courts for the Southern and Eastern Districts of New York.