Sarah Riddell is a partner and a member of the firm’s Asset Management and Investment Funds practice. As a former regulator, Sarah has insight that enables her to be a trusted advisor to clients. She frequently speaks at conferences and engages in thought leadership on emerging issues important to the derivatives industry.
Sarah advises a broad range of market participants on regulatory matters. She assists US and international futures and swap exchanges, clearing houses, and financial institutions on Commodity Futures Trading Commission (CFTC) registration, compliance, and cross-border issues. She also advises exchange-traded fund issuers, private fund managers, futures commission merchants, and swap dealers with CFTC and National Futures Association (NFA) with becoming registered with the CFTC, developing compliance programs, and successfully undergoing regulatory examinations. Sarah also works with trade associations, particularly when the CFTC and Securities and Exchange Commission propose new or amended regulations.
Sarah advises a range of clients on regulatory matters involving digital assets, including helping institutional investors conduct due diligence on investments, analyzing the legal and regulatory status of a digital asset, and advising issuers on state law and regulation, including the applicability of the New York State Department of Financial Services (NYDFS) BitLicense regulation and federal and state laws and regulations.
Sarah’s experience extends to cybersecurity issues, with hands-on experience assisting clients that have experienced cybersecurity attacks or been affected by service providers’ outages. She has provided guidance during cybersecurity investigations and assessments of forensic analyses and has drafted and submitted notifications to customers and regulatory agencies under various states’ requirements, the NFA’s Information Systems Security Program interpretive notice, and the NYDFS Cybersecurity Regulation.
