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Katten

525 WEST MONROE STREET, CHICAGO, IL 60661-3693, USA
Tel:
Work +1 312 902 5200
Fax:
Fax +1 312 902 1061
Email:
Web:
Katten.com

Arthur Hahn

Tel:
Work +1.312.902.5241
Email:
Web:
www.kattenlaw.com/Arthur-Hahn
Katten

Work Department

Financial Services

Position

Arthur W. Hahn is global co-chair of Katten's Financial Services practice and a member of the firm's Board of Directors. He represents major international banks and brokerage firms, international equity and commodity exchanges, and clearinghouses and technology companies in connection with their regulatory, business and litigation needs.

An experienced counselor to financial institutions, Arthur represents his clients' interests whether he is interfacing with exchanges, supervising regulatory compliance, advising on principal trading and sales practices issues, or overseeing litigation and enforcement matters. He provides valued guidance on business structuring and strategy, trading rules, technology initiatives, cross-border Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) licenses, and international insolvency issues. In addition, Arthur counsels companies regarding capital formation and mergers and acquisitions.

His clients include the LCH.Clearnet Group, Bank of New York Mellon Corporation, The Mexican Derivatives Exchange (MexDer), Barclays and CalPERS. Arthur also provides experienced counsel on legal issues involving high-frequency trading. He is regularly involved in enforcement matters and securities litigation and is a certified mediator, focusing on resolving financial instruments and markets disputes. He is a sought-after lecturer and author on subjects relating to all facets of financial services.

As a member of the Board of Directors of the Futures Industry Association, Arthur is involved in rulemaking and policy discussions involving industry leaders, regulators and legislators. 

Education

JD, Northwestern University School of Law; BA, Miami University; The London School of Economics and Political Science


United States: Finance

Financial services regulation

Within: Financial services regulation

Combining 'the highest-caliber legal intelligence with carefulness and cross-sectional business knowledge', Katten provides 'user-friendly, responsive and commercial advice' to clients on both the buy and sell side. A particular strength of the firm is its 'broad knowledge of derivatives law', where clients appreciate its ability to provide 'practical, real-world advice' on the regulatory issues impacting exchange-traded and OTC derivatives across all asset classes and transaction types. Working alongside the firm's London office, New York-based of counsel Guy Dempsey is assisting ICBC Standard Bank on all aspects of commencing a new swap business and registering as a swap dealer with the Commodity Futures Trading Commission (CFTC). Chicago-based practice co-head Lance Zinman has an excellent understanding of the regulatory regimes underpinning activity undertaken by hedge funds and proprietary trading firms. Alongside New York-based Allison Yacker, he recently advised Waterfall Asset Management on the creation of a fund structure that facilitates investment by non-US persons in assets that generate income effectively connected to a US trade or business. Wendy Cohen is recognized as a 'standout practitioner' for broker-dealer matters and is a key member of the team, as are 'rock star' Henry Bregstein and Arthur Hahn, who also co-head the team from New York and Chicago, respectively. Other clients include Royal Bank of Canada, UBS and Futures Industry Association.

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Structured finance: derivatives and structured products

Within: Structured finance: derivatives and structured products

Katten is primarily engaged by sell-side clients in OTC and exchange-traded derivatives matters, and has particular expertise in advising swap dealers on issues such as registration, reporting, ongoing trading matters and regulatory investigations. Headed by Arthur Hahn in the Chicago office, the department is also active in the commodities space and has experience advising clearinghouses and market exchanges. Guy Dempsey advised ICBC Standard Bank on its CFTC registration for the commencement of its swap-dealer business, and is also assisting Jefferies Derivative Products with the development of swap-dealer policies pursuant to new CFTC requirements. Additionally, Stanford Renas and Don Macbean advised Morgan Stanley Commodities on multiple long-term hedging transactions. Also recommended is special counsel Gary DeWaal, who has acted for broker-dealers and proprietary trading groups in relation to crypto-asset trading and clearing matters.

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