Michael Sefton is a member of Baker & McKenzie's Banking & Finance Practice Group in Chicago. Mr. Sefton has 14 years of experience advising on securities, derivatives (including commodity futures, swaps, options, FX and other instruments) and corporate law. He assists clients from the financial services industry with all aspects of their business including formation, enforcement matters, dispute resolution, and compliance and regulatory matters arising from federal and state securities laws, the Commodity Exchange Act, the Dodd-Frank Act, and the rules of self-regulatory organizations.
Mr. Sefton advises financial institutions, registered investment advisers, broker-dealers, futures commission merchants, introducing brokers, commodity trading advisors, commodity pool operators, proprietary trading firms and other members of the financial services industry with respect to securities and derivatives matters. Mr. Sefton also counsels clients on compliance in securities offerings for alternative investment vehicles and in the offering of commodities and securities managed account programs. He has represented clients in investigations and enforcement matters before the US Commodity Futures Trading Commission, the US Securities and Exchange Commission, the National Futures Association and CME Group exchanges.
Representative Legal Matters
- Counseled a registered investment adviser with USD5.5 billion in assets under management in the purchase and transition of an offshore equity fund.
- Assisted a registered investment adviser in determining whether it was required to register as swaps intermediary based on currency trading by adviser as investment manager of fund.
- Advised on fund formations on behalf of commodity pool operators, hedge fund managers and registered investment advisers.
- Advised commodity trading advisors on regulatory and compliance matters.
- Advised proprietary trading firms on regulatory and compliance matters.
Professional Associations and Memberships
- American Bar Association - Member
- Chicago Bar Association - Futures & Derivatives Law Committee Member
- Chicago Bar Association - Corporation & Business Law Committee Member
- U.S. District Court, Northern District of Illinois~United States (1999)
- Illinois~United States (1999)
- DePaul University College of Law (J.D.) (1999)
- University of Southern California (B.A.) (1995)
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