Neal E. Kumar

Washington,  DC  U.S.A.
Phone202 862 2288

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Experience & Credentials

Practice Areas

  • Business Fraud & White Collar Defense
  • Commodities & Futures Regulation
  • Corporate
  • Energy & Commodities
  • Energy & Commodities Investigations
  • Swap Regulation
  • Energy & Commodities Regulation & Compliance
  • Energy & Commodities Transactions
  • Financial Regulation
  • Government & Internal Investigations and Defense
  • Litigation
Contact InfoTelephone: 202 862 2288
Fax: 202 862 2400
University Fordham University, B.S., cum laude, 2003
Law SchoolPace Law School, J.D., cum laude, 2007
Admitted2008, New York; District of Columbia

Neal Kumar focuses his practice on representing financial institutions, hedge funds, energy and commodity companies, and trade associations in a variety of transactional, regulatory and risk management 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 whether a transaction is subject to regulation by the Commodity Futures Trading Commission (CFTC) as a swap, commodity trade option or whether the transaction is an excluded forward contract. For transactions subject to CFTC regulation, Neal advises clients on the various CFTC rules, regulations and orders that apply, such as reporting, recordkeeping, mandatory clearing, the end-user exception to mandatory clearing, position limits, and the cross-border application of these rules. Neal also assists clients in understanding the new Dodd-Frank registration requirements for swap dealers and major swap participants and new rules applicable to these new registrants. In addition to advising clients on the regulatory regime for swaps, Neal advises clients on the regulatory regime applicable to futures contracts. Neal's practice also focuses on representing clients in enforcement matters before the CFTC from the beginning phases of a document request to settlement negotiations and litigation.

Prior to joining Cadwalader, Neal served as Counsel to the Office of the General Counsel 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, the Commission's 4(c) effective date orders and other Dodd-Frank rulemakings. 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


News Releases

Cadwalader Recognized for Excellence at 2013 Commodity Business Awards Nov 21, 2013


Cadwalader Recognized for Excellence at 2013 Commodity Business Awards Nov 21, 2013


Clients & Friends Memos

Unregistered CTA Summit Energy Services: Choose Your Words Wisely Feb 09, 2015


Futures Industry Association's 30th Annual Futures and Options Expo Nov 04, 2014


Documents by this lawyer on

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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...

Update to New CME Rule on Disruptive Trading Practices Summary Chart
Sohair A. Aguirre,Neal E. Kumar,Anthony M. Mansfield,Paul J. Pantano, September 18, 2014
On August 28, 2014, the Chicago Mercantile Exchange Inc., the Board of Trade of the City of Chicago, the New York Mercantile Exchange, Inc., and the Commodity Exchange, Inc. (collectively, the “CME”) submitted a notice of a rule adoption to the Commodity Futures Trading Commission (the...

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Office Information

Neal E. Kumar

700 Sixth Street, N.W.
WashingtonDC 20001


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