James M. Falvey

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James M. Falvey
James Falvey.jpg
Occupation Consultant
Employer Bovill
Location Chicago
Twitter @JimFalvey
LinkedIn Profile

James M. Falvey is the chief regulatory officer and general counsel at EMX, a derivatives exchange that intends to list both traditional and cryptocurrency futures.[1]

He has been a consultant with Bovill, a specialist financial services regulatory consultancy headquartered in London.

He was previously a regulatory compliance specialist at the tax and advisory firm McGladrey. He joined the firm in January 2015 after serving as general counsel at Green Key Technologies.

He is also on the board of advisors of PanXchange, as well as an adjunct professor at Penn State University.

Background[edit]

Falvey served as general counsel and corporate secretary at R.J. O'Brien & Associates. He assumed that post in January 2010 and left in 2011 to run for Congress.[2][3][4] During this time he also ran his own law and consulting practice.

Before joining R.J. O'Brien, he served as general counsel of the US Futures Exchange (USFE), the Chicago-based electronic derivatives platform controlled by MF Global.[5] Before that, he was the general counsel of Eurex US, the USFE's legacy exchange set up in 2004 and acquired by MF Global's parent in 2006.

Falvey has also served as vice president and general counsel of the Intercontinental Exchange.[6] Before that, he served as assistant general counsel of the Chicago Mercantile Exchange.[7]

In 2006, he co-authored a paper titled "Commodity Exchanges and Antitrust" with Andrew N. Kleit.[8] The paper explored the impact of competition in the futures industry and how the exchanges are dealing with the resulting antitrust issues.

Falvey is active within the Illinois Republican party and, in April 2013, was appointed Republican Committeeman for Lyons Township, replacing Tony Peraica, who had held the position since 2002.[9] In 2012, Falvey ran unsuccessfully for the Republican Party nomination for Illinois' 3rd Congressional District.[10][11]

John Lothian News Interview[edit]

{{#ev|vimeo|44544380|425}} Jim Falvey has been an attorney in the exchange and FCM space for over 15 years. He has served as general counsel of Eurex US and Intercontinental Exchange, as assistant general counsel for CME Group and, most recently, as general counsel and corporate secretary of R.J. O'Brien & Associates. He also sits on the advisory board of CMDirect, a web-based commodity trading platform. Former John Lothian News editor-at-large Doug Ashburn spoke with Falvey about the MF Global bankruptcy, the Volcker Rule, protection of segregated funds, conflicts of interest, and other compliance issues related to the Dodd-Frank Act. Published Nov. 23, 2011.

Published Works[edit]

Education[edit]

Falvey holds an MBA from the Kellogg School of Management at Northwestern University and a Juris Doctor from Georgetown University Law Center.[12]

References[edit]

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