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Sarah V. Riddell

Associate

Leveraging her experience as a lawyer at the US Commodity Futures Trading Commission (CFTC), Sarah V. Riddell advises domestic and foreign exchanges, derivatives clearing organizations, swap execution facilities, and other financial institutions on a broad range of regulatory matters, including CFTC registration and compliance. While at the CFTC, Sarah worked on Dodd-Frank-related rulemakings and participated in examinations of derivatives clearing organizations, including those designated as systemically important.

blog contributor

All Things FinReg

    Extended Profile

    During law school, Sarah interned at the International Criminal Tribunal for the former Yugoslavia in The Hague where she worked on, among other things, policy matters related to detention. Sarah interned at the US Attorney’s Office and for a federal judge in the Northern District of Illinois. Sarah has also worked on clearing issues for one of the world’s largest derivatives exchanges. 

    Selected Representations

    • Advise international clearing house on CFTC matters, including the investment of customer funds and CFTC-compliant documentation for such investments.
    • Advise clients, including global investment management firms, on position limits and successfully obtaining exemptions from exchange-established position limits.
    • Counsel foreign exchanges on CFTC-compliant offerings of their contracts to US persons.
    • Assist clients with registering with the CFTC as a foreign board of trade, designated contract market, or swap execution facility.

    Education

    • Bradley University, 2004, B.S., Summa Cum Laude
    • DePaul University, 2007, M.A.
    • Loyola University Chicago School of Law, 2011, J.D., Cum Laude

    Admissions

    • Illinois
    • New York

    Awards and Affiliations

    Ranked, Chicago Super Lawyers, Rising Star (2016-2018)

    Member, Practice Group of the Year, Asset Management, Law360 (2017)

    Member, American Bar Association

    Member, Women in Listed Derivatives (WILD)

    Member, Chicago Council on Global Affairs

    Hedge Funds Care/Help For Children — Chicago Committee of Hope Member

    Publications

    12/14/2018 - NFA Issues Internal Controls Guidance for Commodity Pool Operators

    12/7/2018 - NFA Members: Will You Need to Update Your Cybersecurity Policy?

    10/11/2018 - A Light Lift: CFTC Proposes to Codify Existing No-Action Relief and Other Relief Applicable to CPOs and CTAs

    8/16/2018 - NFA Sets Effective Date for Disclosure Requirements in Virtual Currency Activities

    8/1/2018 - NFA Proposes Interpretive Notice Mandating New Virtual Currency Disclosures

    7/17/2018 - CFTC, SEC Sign New Memorandum of Understanding on Information Sharing

    3/7/2018 - Recordkeeping: Recent Rule Amendments and Other Developments

    3/7/2018 - The Review of Securities & Commodities Regulation, RSCR Publications

    2/9/2018 - Sensible State Coordination Allows Fintechs to Quickly Enter New Markets, All Things FinReg

    1/24/2018 - Cryptocurrencies Increasingly Coming Under Federal Microscope, All Things FinReg

    12/19/2017 - National Futures Association Issues New Virtual Currency Notification and Reporting Requirements

    8/15/2017 - SEC Observations from Recent Cybersecurity Examinations Identify Best Practices

    2/14/2017 - Morgan Lewis Urges NYDFS to Modify Its Re-Proposed Cybersecurity Rules

    1/11/2017 - NYDFS Modifies, Delays Implementation of Cybersecurity Rules

    11/16/2016 - Morgan Lewis Urges NYDFS to Modify Proposed Cybersecurity Rules

    10/31/2016 - Regulatory Flood Closes Out Cybersecurity Awareness Month, All Things FinReg

    October 2016 - NYDFS: "First-in-the-Nation" Cybersecurity Proposal, Wall Street Lawyer, Thomson Reuters

    9/20/2016 - “First-In-The-Nation” Cybersecurity Rules in the Pipeline for NY Banks, Insurers, and Financial Services Companies, All Things FinReg

    9/20/2016 - NYDFS: “First-In-The-Nation” Cybersecurity Proposal

    9/15/2016 - NFA Proposal Would Require CFTC-Registered Asset Managers to Report on Financial Condition

    8/3/2016 - CFTC Proposes Permanent Registration Relief to Certain Non-US Asset Managers

    7/15/2016 - North Carolina Captures Bitcoin Custodians in New Money Transmitter Law, All Things FinReg

    7/14/2016 - Elizabeth Warren’s Latest Proposal Is Unfailingly Tough on Banks, All Things FinReg

    1/12/2016 - Deadline Approaches for Annual CPO/CTA Exemption Filings

    11/11/2015 - NYDFS Issues Letter to Federal Financial Regulators Seeking Collaboration on Cybersecurity Efforts, All Things FinReg

    10/14/2015 - The Conference of State Bank Supervisors Adopts Model Regulatory Framework for Virtual-Currency Businesses

    October 2015 - Proactive Approach To Cybersecurity

    9/8/2015 - National Futures Association Proposes Cybersecurity Guidance for NFA Member Firms

    7/27/2015 - CFTC Staff Exempts Certain Commodity Trading Advisors from Form CTA-PR Reporting

    6/9/2015 - NYDFS Releases Final Rules for Licensing Virtual Currency Businesses in New York

    11/7/2014 - CFTC Proposes Amendments to Recordkeeping Rules

    11/7/2014 - Panelist, Practicing International Law in the Midwest, presented at the ASIL International Law Career Panel and Speed Mentoring Event at Northwestern University

    11/6/2014 - Panelist, ASIL International Law Career Panel and Speed Mentoring Event at John Marshall Law School

    3/20/2014 - SEC Proposes Enhanced Regulatory Framework for Certain Registered Clearing Agencies

    11/12/2013 - Panelist, ASIL International Law Career Panel and Speed Mentoring Event at Loyola University Chicago School of Law

    View more...

    News

    5/25/2017 - Morgan Lewis Chicago Office Recognized for Pro Bono Contributions to Settlement Assistance Program

    Events

    6/19/2018 - The Changing Landscape of Exchange-Traded Products

    5/22/2018 - 2018 Technology May-rathon: Disruptive Technologies In Investment Management Session 2: The Regulatory Landscape for Asset Managers

    5/8/2018 - 2018 Morgan Lewis Advanced Topics in Hedge Fund Practices Conference: Manager and Investor Perspectives – Chicago

    3/6/2018 - Morgan Lewis and WILD: The Future of Blockchain Technology and Cryptocurrencies

    12/14/2017 - Recordkeeping – FIA Law and Compliance Division Webinar

    4/5/2017 - New York Department of Financial Services Cybersecurity Regulations