Ms Carolyn Jackson > Katten > London, England > Lawyer Profile


Work Department

Financial Markets and Funds


Carolyn Jackson helps clients solve complex cross-border issues involving the regulation of financial institutions and financial products, including derivatives. Carolyn’s depth of knowledge and practical approach are shaped by her first-hand experience: she managed the New York trading desk of several investment banks and was formerly the executive director of the International Swaps and Derivatives Association, Inc. Trading firms, banks, asset managers, clearing houses and trading venues rely on her to find creative-yet-sensible solutions.

Clients with international financial operations regularly face cross-border regulatory challenges. Carolyn is adept at solving these compliance puzzles, which often involve adherence to the Dodd-Frank Act, the European Market Infrastructure Regulation and other foreign financial laws. When necessary, she crafts innovative solutions by restructuring financial products or business operations or by obtaining regulatory relief.

Carolyn doesn’t see most regulations as obstacles. When a US stock exchange’s acquisition of a foreign clearing house created issues under Dodd-Frank, she worked with the client to restructure operations to eliminate these issues. For another foreign client concerned about the effect of Brexit on its trading business, Carolyn helped it set up new structures and compliance systems to continue its operations. She also helps clients with day-to-day compliance issues, including, for instance, creating multijurisdictional employee-training programs.

As both a New York and English qualified lawyer, Carolyn is well placed to address cross-border financial regulatory issues.

Lawyer Rankings

London > Corporate and commercial > Financial services: non-contentious/regulatory

Katten‘s financial markets and funds practice has a strong transatlantic focus, advising exchanges, clearing houses, broker dealers, funds and asset managers on regulatory issues arising from their operations in the UK, as part of its wider cross-border offering. Key figures in the team include English- and New York-qualified Carolyn Jackson, who is a derivatives regulatory expert;  Nathaniel Lalone, also dual qualified in England and New York, who specialises in derivatives and securities regulation in the US, UK and EU; and David Brennand, an expert in the creation of structures for collective investment across a variety of asset classes.

London > Finance > Derivatives and structured products

The futures and derivatives practice at Katten is ‘commercially savvy, showing attention to detail and the ability to deliver on time even when given unreasonable deadlines‘. The firm has in-depth knowledge of exchange-traded and OTC derivatives regulation. Carolyn Jackson, Nathaniel Lalone and Neil Robson are the lead partners in London. Jackson and Lalone are New York and English law qualified, which sees them advise on cross-border regulatory issues in the derivatives market. Robson is a key adviser to hedge and private equity fund managers, investment advisers, broker-dealers and proprietary traders in the UK and Europe. ‘Trusted advisorDavid Brennand is a key member of the financial markets regulatory group and he advises on advises on the creation, operation and restructuring of funds, as well as negotiating agreements that govern managed accounts, seed capital arrangements and illiquid portfolio acquisitions and divestments.