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James Kwok
James Kwok
New York +1 212 841 1033 jkwok@cov.com Download V-card

James Kwok provides advice to financial institutions, asset managers and commercial entities with respect to derivatives. He also regularly represents clients on a wide range of regulatory and policy matters, including with respect to federal securities law, the Investment Advisers Act, and the Commodity Exchange Act.

Mr. Kwok also has passed all three levels of the Chartered Financial Analyst exams.

  • Corporate end-users of derivatives on transactional, documentation, and regulatory aspects of their participation in these markets.
  • Swap dealers on compliance with CFTC regulations, including rules related to external business conduct standards and the trading of swaps on swap execution facilities (SEFs).
  • Derivatives trading platforms on the application of CFTC Core Principles relevant to SEFs and designated contract markets (DCMs).
  • Derivatives trading platforms in connection with the development of financial products.
  • FX Intermediaries in connection with the transactional, documentation, and regulatory aspects of their participation in these markets.
  • Domestic and international banks on compliance with the Volcker Rule.
  • A major financial institution in restructuring its trading and markets operations under the Securities Exchange Act.

Memberships and Affiliations

  • New York State Bar Association

Previous Experience

  • Seconded to the legal department of a bulge bracket investment bank, supporting bankers in equity capital markets, financial advisory and private funds advisory matters. (2013-2014).