Mr. Shipkevich is a principal of Shipkevich PLLC. His practice concentrates on futures, commodities, and derivatives regulatory, transactional, and enforcement matters. Mr. Shipkevich has a strong legal background in corporate governance, compliance, regulatory, and collateral issues associated with these areas.
He performs transactional work for Futures Commissions Merchants (FCMs), Retail Foreign Exchange Dealers (RFEDs), Introducing Brokers (IBs), Commodity Pool Operators (CPOs), Commodity Trading Advisors (CTAs), Swap Dealers (SDs), Swap Execution Facilities (SEFs), and domestic and offshore hedge funds. Mr. Shipkevich guides clients on procedures related to registration with the U.S. Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA), as well as domestic and international regulators in local jurisdictions.
He has represented clients in China, Japan, Southeast Asia, Ireland, Europe, Bermuda and the Caribbean, South America, and he is recognized as a solicitor by the Law Society of England and Wales. Mr. Shipkevich prepares and assists with implementation of compliance procedures for clients in the commodities and derivatives fields. He prepares procedures for anti-money laundering (AML) policy, Electronic Transmitter Service (ETS) policy, Business Continuity and Disaster Recovery (BCDR) plans, and procedures for training staff on AML, ethics, and fraud detection. Mr. Shipkevich has defended hedge funds, traders, forex firms, broker-dealers, and investment advisors as clients against enforcement actions in federal and state courts.
Prior to founding his private practice, Mr. Shipkevich was counsel of CMS Forex, a FCM and RFED, where he oversaw the firm’s offices located in New York, Bermuda, Saint Petersburg, Tokyo, and Shanghai. Prior to CMS Forex, he worked as a New York litigation attorney representing financial firms. Mr. Shipkevich also worked at AIG’s Financial Institutions Group, where he supervised and managed litigation against the Securities Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) brokers. He acquired his earliest legal experience at such prestigious institutions as the division of enforcement at the SEC, New York Stock Exchange, and UBS and Bear Stearns.
|Award name||Grantor||Date Granted|
|Hofstra Law School Dean's List (several semesters)||Hofstra Law School Dean's List (several semesters)||2003|
|Principal||Shipkevich PLLC||2011 - Present|
|General Counsel||Capital Market Services, LLC (CMS Forex)||2006 - 2010|
|Associate||Morrison Mahoney, LLP||2005 - 2006|
|Analyst||AIG||2003 - 2004|
|Association name||Position name||Duration|
|New York County Lawyers' Association||Director||2012 - 2015|
|Payment Week||Regulatory Review of Bitcoin and Digital Currencies||2015|
|Compliance Reporter||Ask an Attorney: How will a recent amendment affect the way swap dealers and major swap participants deal with employees who solicit, accept or effect swaps in a clerical or ministerial capacity?||2014|
|Compliance Reporter||Derivatives Compliance 2013: A CCO Watch List||2013|
|Compliance Reporter||Compliance Clinic – How to Satisfy the CFTC’s CCO Rule||2012|
|Hofstra||JD - Juris Doctor||2003|
|State University of New York, Binghamton||BA - Bachelor of Arts||2000|
|Osney Media in New York||OTC Derivatives Conference, Regulatory Update – Global Regulators on Developments, Extraterritoriality and Timelines||N/A|
|Osney Media Conference in London||OTC Derivatives Conference for Fund Management, Regulatory Update on CFTC’s Extraterritoriality Guidance||N/A|
|DeriveSource||Legal Insights: The Final CFTC Cross-Border Guidance Rules Explained||N/A|
|ACI Swaps and Derivatives Conference||Swaps & Derivatives, Global Markets Regulation: Compliance, Regulatory Enforcement & Cross-Border Harmonization, Panelist||N/A|
|Various CFTC / NFA Enforcement Cases|
|Represented Defendants before CFTC and NFA Enforcement Proceedings|
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February 11, 2016
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