Colin D. Lloyd is partner of Cleary Gottlieb Steen & Hamilton LLP. Colin Lloyd advises on a broad range of securities and derivatives regulatory, legislative, transactional, and enforcement matters.
His clients include U.S. and non-U.S. broker-dealers, swap dealers, banks, exchanges, electronic trading platforms, clearinghouses, private equity funds, investment managers, sovereigns, and derivatives end users. He is frequently counsel to leading financial market trade associations and ad hoc coalitions on major industry initiatives.
He regularly represents these clients before the Securities and Exchange Commission, the Commodity Futures Trading Commission, the Financial Industry Regulatory Authority, and other federal regulatory agencies and self-regulatory organizations.
Colin joined the firm in 2007 and became a partner in 2016. He was resident in the Washington, D.C., office from 2007 to 2011.
EXPERIENCE:
Derivatives and Foreign Exchange
- Standing outside counsel to both the Securities Industry and Financial Markets Association and the Institute of International Bankers on derivatives regulatory matters, including dozens of comments letters and other submissions relating to Title VII of the Dodd-Frank Act.
- Leading role in the development of a comprehensive compliance manual used by more than 60 registered swap dealers as the foundation for their compliance policies and procedures.
Broker-Dealer and Securities Market Regulation
- Advice to U.S. and foreign broker-dealers on their cross-border securities activities, including compliance with SEC Rule 15a-6.
- Counsel to leading commercial and custody banks regarding the permitted scope of securities-related activities.
Blockchain, Cryptocurrencies, and FinTech
- Goldman Sachs in connection with regulatory, documentation, netting, and commercial law matters involving cryptocurrency transactions.
- Paxos Trust (formerly known as itBit Trust) in the development of a permissioned blockchain platform for the settlement of gold bullion trading conducted through the London over-the-counter market.
Enforcement and Investigations
- Multiple financial institutions in connection with major settlements with the Department of Justice, CFTC, and others involving global foreign exchange and interest-rate benchmarks.
- Commerzbank in a $12 million civil monetary penalty to settle CFTC charges relating to Dodd-Frank swap dealer regulations, in what is the CFTC’s largest case to-date relating to these regulations.
EDUCATION:
- Harvard Law School, J.D., 2007
- Vanderbilt University, B.A., 2004
BAR ADMISSIONS:
- New York
- District of Columbia
Cost
Rate : $$$
