Colin Lloyd advises on a broad range of securities and derivatives regulatory, legislative, transactional and enforcement matters.
His clients include U.S. and non-U.S. broker-dealers, swap dealers, banks, exchanges, electronic trading platforms, clearinghouses, private equity funds, investment managers, sovereigns and derivatives end users. He is frequently counsel to leading financial market trade associations and ad hoc coalitions on major industry initiatives.
He regularly represents these clients before the Securities and Exchange Commission, the Commodity Futures Trading Commission, the Financial Industry Regulatory Authority, and other federal regulatory agencies and self-regulatory organizations.
Colin joined the firm in 2007 and became a partner in 2016. He was resident in the Washington, D.C., office from 2007 to 2011.
“Comparing Cross-Border Swaps Regulation Version 2.0 with the Status Quo,” Cleary Gottlieb Alert Memo, with Reshama Patel (October 2018)
“Treasury Report Embraces Machine Learning and Artificial Intelligence in Financial Services,” Cleary FinTech Update blog, with Pamela L. Marcogliese, Sandra M. Rocks, and Lauren Gilbert (August 29, 2018; republished January–February 2019 by The Journal of Robotics, Artificial Intelligence & Law).
“OCC Begins Accepting Applications for FinTech Charters,” Cleary Gottlieb Alert Memo, with Michael Krimminger, Derek M. Bush, Patrick Fuller, Pamela L. Marcogliese, and Knox McIlwain (August 2018)
“CFTC Proposes to Streamline Uncleared Swap Segregation Rules,” Cleary Gottlieb Alert Memo, with Brian J. Morris (August 2018)
“CFTC Proposes Amendments to Swap Dealer De Minimis Exception,” Cleary Gottlieb Alert Memo, with Brian J. Morris and Brandon M. Hammer (June 2018)
“CFTC Chairman Giancarlo Unveils Swap Regulation Version 2.0,” Cleary Gottlieb Alert Memo, with Brian J. Morris and Reshama Patel (May 2018)
“SEC Proposes New Best Interest Standard for Broker-Dealers and “Clarification” of Existing Fiduciary Standard for Investment Advisers,” Cleary Gottlieb Alert Memo, with Robin M. Bergen, Carl F. Emigholz, Arthur H. Kohn and Alexander Janghorbani (May 2018)
“U.S. Regulators Continue Scrutiny of Virtual Currencies and ICOs,” Cleary Gottlieb Alert Memo, with Michael H. Krimminger (March 2018)
“SEC and CFTC Testimony on Virtual Currencies: Is More Regulation on the Horizon?,” Cleary FinTech Update blog, with Michael Krimminger and Zachary Baum (February 14, 2018; republished March 12, 2018, by Harvard Law School Forum on Corporate Governance and Financial Regulation).
“The FX Global Code,” The Banking Law Journal (January 2018).
Bitcoin’s Future: CME and Other Exchanges Self-Certify Bitcoin Futures and Options with the CFTC (co-authored with James Michael Blakemore).
Guide to Bank Underwriting, Dealing and Brokerage Activities (Thomson West, 2015).
OTC Derivatives Regulation Under Dodd-Frank: A Guide to Registration, Reporting, Business Conduct and Clearing (Thomson West, 2015).
U.S. Regulation of the International Securities and Derivatives Markets (Wolters Kluwer, 2014).
Regulation of Foreign Banks and Affiliates in the United States (Thomson West, 2014).
Colin is a frequent speaker on financial market regulatory matters, including at events organized by the American Bar Association, the Securities Industry and Financial Markets Association, the Futures Industry Association, the International Swaps and Derivatives Association, the International Bar Association, the Institute of International Bankers and the Practicing Law Institute.
He is also a regular guest lecturer at Columbia University Law School and has been invited to speak at events held by Harvard Law School and Vanderbilt University Law School.