- Business Fraud & White Collar Defense
- Commodities & Futures Regulation
- Energy & Commodities
- Energy & Commodities Investigations
- Swap Regulation
- Energy & Commodities Regulation & Compliance
- Energy & Commodities Transactions
- Financial Regulation
- Government & Internal Investigations and Defense
|Contact Info||Telephone: 202 862 2288|
Fax: 202 862 2400
|University ||Fordham University, B.S., cum laude, 2003|
|Law School||Pace Law School, J.D., cum laude, 2007|
|Admitted||2008, New York; District of Columbia|
Neal Kumar focuses his practice on representing financial institutions, hedge funds, major energy and agricultural companies, and trade associations in a variety of regulatory, litigation, and transactional matters.
Neal advises clients on various matters associated with the Commodity Exchange Act, as amended by the Dodd-Frank Act, specifically focusing on derivative products and physical transactions. This includes advising clients on the application of rules and regulations promulgated by the Commodity Futures Trading Commission (CFTC) and the National Futures Association (NFA). Neal advises both end-users and CFTC registrants on compliance with rules applicable to futures contracts, options on futures, and swaps, including when U.S. derivative regulations apply in a cross-border context. Neal's practice also focuses on representing clients in government investigations by the CFTC and self-regulatory organizations related to manipulation, reporting, position limits, prohibited trade practices and other matters.
Prior to joining Cadwalader, Neal served as Counsel to the Office of the General Counsel for the Commodity Futures Trading Commission (CFTC). While there, he had extensive involvement in the development of various rulemakings of the Dodd-Frank Act, including the joint definition of swap with the Securities and Exchange Commission (SEC), position limits, swaps large trader reporting, foreign boards of trade and swap execution facility registration. Neal also coordinated with Commission staff in developing memorandums of understanding with foreign regulators and assisted in a joint study with the SEC comparing the regulation of swaps in various jurisdictions.
Neal received his L.L.M. from the University of London, King's College, J.D. from Pace University School of Law and his B.S. from Fordham University. He is admitted in to practice in the District of Columbia and in the State of New York.
News & Resources
•Cadwalader Advises Magnolia LNG on First Binding Tolling Agreement for LNG Export Project Jul 23, 2015
•Cadwalader Recognized for Excellence at 2013 Commodity Business Awards Nov 21, 2013
Clients & Friends Memos
•CFTC Division of Market Oversight Holds Roundtable to Assess the Made Available to Trade Process Jul 20, 2015
•FIA L&C 2015 Program Jun 22, 2015
Documents by this lawyer on Martindale.com
A Signal of Things to Come? New CME Rule 512 Reflects Modified Stance for Violations of Futures and Options Reporting Requirements
Athena Yvonne Eastwood,Jonathan H. Flynn,Neal E. Kumar,Gregory George Mocek,Mary Treanor, April 27, 2015
On March 24, 2015, the CME Group, Inc. (“CME”) announced a proposed amendment to Rule 512 indicating that it will impose a minimum fine of $1,000 for repeat violations of its exchanges’ reporting rules for futures and options. The amendment, which became effective on April 7, 2015...
New Exchange Rules on Disruptive Trading Practices Summary Chart
Sohair A. Aguirre,Isabelle S. Corbett,Athena Yvonne Eastwood,Jonathan H. Flynn,Neal E. Kumar, March 25, 2015
On January 14, 2015, the Intercontinental Exchange (“ICE”) rule prohibiting disruptive trading practices (ICE Rule 4.02) became effective. The ICE Rule is substantively the same as Rule 575 passed by the Chicago Mercantile Exchange Inc., the Board of Trade of the City of Chicago, the...
Unregistered CTA Summit Energy Services: Choose Your Words Wisely
Athena Yvonne Eastwood,Andrew M. Greenberg,Neal E. Kumar,Gregory K. Lawrence, March 25, 2015
A recent case highlights the importance of periodically reviewing an energy company's marketing materials and related activities (including statements made on websites) to ensure that the company is not holding itself out -- without CFTC registration -- as a CTA (commodity trading advisor). A...
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