Erin N. Kauffman

ERIN KAUFFMAN advises financial services clients on regulatory, compliance, transactional, examination, and enforcement matters arising under the jurisdiction of the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and U.S. Commodity Futures Trading Commission (CFTC). She is a member of the Securities Enforcement and Regulatory group, which was named a 2025 “Compliance Group of the Year” by Law360, received the 2019 Chambers USA Award for Financial Services Regulation, and was named the “Law Firm of the Year” for Securities Regulation in 2024, 2020, and 2017 and for Litigation – Regulatory Enforcement (SEC, Telecom, Energy) in 2023 and 2021 by U.S. News – Best Lawyers.

Erin has deep experience advising clients, including some of the world’s largest asset managers and broker-dealers, on all aspects of their securities lending programs, including structuring and documentation, customer protection regulations, and collateral requirements. She has extensive experience negotiating a wide variety of custody, collateral management, and other ancillary service agreements on behalf of broker-dealer and asset manager clients. Erin also counsels leading industry trade associations on significant regulatory initiatives and regulator engagement, including on securities lending and short selling matters.

In addition, Erin regularly counsels clearing organization clients on regulatory and compliance matters relating to the clearance and settlement of equity instruments.

Prior to joining Sidley, Erin worked as a legal intern with the CFTC’s Division of Enforcement. She also served as a summer law clerk with the U.S. Department of Justice, Criminal Division, where she worked on Foreign Corrupt Practices Act and Securities and Financial Fraud matters.