
Law & Compliance Division Conference
26 April 2023 - 28 April 2023 • 11:00 AM - 1:30 PM ET
This April 26-28 connect with legal & compliance professionals in the cleared derivatives industry. Featuring a program curated by industry experts, the Law & Compliance Division Conference examines all the pressing industry legal and regulatory developments, reviews the latest enforcement cases and offers practical compliance tips and strategies for all market participants. Learn from the experts and strengthen and protect your firm, your clients, the cleared derivatives industry and all who participate in it.
L&C meets the needs of multiple levels of practitioners in the industry, from the new law firm associate to the Chief Compliance Officer. Earn CLE credit through sessions dedicated to new developments, legal careers in cleared derivatives, key issues and compliance program best practices.
Join us for L&C at the Marriott Marquis Washington DC on 26-28 April 2023. Register by 7 April for the best rates!




2023 Agenda
- Wednesday 26 April
- Thursday 27 April
- Friday 28 April
11:00 a.m. ET
Registration Open
12:00 p.m. ET
Exhibits Open & Arrival Hospitality
1:30 p.m. ET
Welcome Remarks
1:45 p.m. ET
Keynote Address
2:15 p.m. ET
Enforcement Trends: Where Are We Headed?
3:30 p.m. ET
Networking Break
4:00 p.m. ET
New Frontiers in Regulation & Compliance
5:10 p.m. ET
Roundtable #1 -Meet Your SRO: CME and NFA
Roundtable #2 - Diversity in Legal & Financial Services
5:15 p.m. ET
Opening Reception
Schedule subject to change.
7:30 a.m. ET
Registration Open & Continental Breakfast
8:00 a.m. ET
Exhibits Open
8:30 a.m. ET
Meet the Directors
9:30 a.m. ET
Networking Break
9:45 a.m. ET
CONCURRENT SESSIONS
Comparing CFTC and SEC Client Protection Regimes
Cross-Border Regulations: Around the World in 60 Minutes
LIBOR Transition: Are We Done Yet?
10:45 a.m. ET
Networking Break
11:15 a.m. ET
CONCURRENT SESSIONS
Rethinking Market Structure: Execution & Clearing
Managing an Effective Compliance Program
12:15 p.m. ET
Networking Break
12:30 p.m. ET
Keynote Lunch & Annual Meeting
2:00 p.m. ET
Networking Break
2:15 p.m. ET
CONCURRENT SESSIONS
CPO/CTA Issues
Best Practices for Responding to Investigations and Enforcement Inquiries
3:15 p.m. ET
Networking Break
3:45 p.m. ET
CONCURRENT SESSIONS
Ethics: Transactions Scenario
Reporting & Recordkeeping: Is Technology a Blessing or Curse?
Event Markets, Retail & Innovative Products
5:00 p.m. ET
Roundtable #1 - Buyside Issues
Roundtable #2 - Know the Regulators in Power and Gas
5:15 p.m. ET
Networking Reception
9:00 p.m. ET
Late Night Karaoke
Schedule subject to change.
7:00 a.m. ET
Registration Open and Continental Breakfast
8:00 a.m. ET
Exhibits Open
8:15 a.m. ET
Washington Update & Crypto Legislation
8:45 a.m. ET
Closing Remarks
9:00 a.m. ET
Networking Break
9:15 a.m. ET
CONCURRENT SESSIONS
Ethics - Investigations Scenario
Commodities/End User
Treasury Market Structure
10:15 a.m. ET
Networking Break
10:30 a.m. ET
CONCURRENT SESSIONS
Crypto Regulation & Enforcement
Global Clearing & Bankruptcy
11:30 a.m. ET
Networking Break
11:45 a.m. ET
CONCURRENT SESSIONS
Carbon & Climate Markets
Practical Pointers for Better Examinations
1:00 p.m. ET
Grab & Go Lunch
2:00 p.m. ET
Conference Concludes
Schedule subject to change.
Event Details
- Registration
- Venue
- CLE Credits
- Event Policies
- FAQs
REGISTRATION TYPE |
Through 7 April |
After 7 April |
2023 L&C DIVISION MEMBER |
$870 |
$1,070 |
FIA MEMBER (includes $50 Division membership) |
$925 |
$1,130 |
NON-MEMBER |
$1,255 |
$1,525 |
GOVERNMENT/REGULATOR |
$340 |
$340 |

Register by 7 April for the best rates!
For group registrations, please contact memberservices@fia.org.
Walk ups are allowed.
If you have issues registering, please contact memberservices@fia.org.
Marriott Marquis Washington DC
The L&C conference will take place at the Marriott Marquis in Washington DC.
FIA has reserved a block of rooms at the hotel for conference attendees. Rates start at $309.00 per night and are quoted exclusive of applicable state and local taxes, occupancy, service, and/or other hotel fees (currently 14.95%). The cut-off date for the group rate is April 4, 2023. Rooms are available on a first-come, first-served basis. Please note that once the block is sold out, the hotel’s market price applies regardless of the date of booking and that some rate categories sell out faster than others.
Make sure to confirm all cancellation policies and forfeiture of deposits directly with the hotel when booking your reservation.
Hotel reservations may be booked here. https://book.passkey.com/e/50305189
CLE will be applied for in Virginia and Illinois. New York has a reciprocal agreement with Virginia. If you need a different state, please check their CLE requirements. If credit hours are approved, certificates will be issued after the conference to those who check in and check out of the CLE sessions that they attend using the FIA Events app. If you do not check in and out we cannot accurately track your participation. Adjustments CANNOT be made. For more information about CLE credits, please contact Beth Thompson.
Substitutions/Cancellations
Notice of cancellations must be received in writing on or before 7 April 2023 and will be subject to a $100 administrative fee. Please e-mail FIA Member Services for cancellations or substitutions. No refunds will be made after 7 April 2023 and all monies owed at the time of cancellation will be due immediately. Substitutions may be made at any time without penalty.
COVID Protocols
FIA takes the health and wellbeing of event attendees and staff seriously. We ask that you do not travel to or attend the event if you have tested positive for Covid or have experienced any Covid symptoms in the last five days before the event. If you develop Covid symptoms or test positive for Covid during the event, we ask that you leave the event venue as soon as possible.
We encourage attendees to follow good hygiene practices, such as using hand sanitizer, which will be made available throughout the event venue, and washing hands regularly.
Privacy Policy
FIA values the privacy of our members, event registrants and website users. We enforce policies to safeguard the personal information that is entrusted to us by the FIA community. Direct contact information, such as addresses, emails and telephone numbers, are treated as confidential. FIA never sells its registration lists to third parties and will never contact you offering to sell such information. We regret that you may become the target of these unsolicited offers and appreciate your assistance in bringing them to our attention. Your privacy is a top priority for FIA. We encourage you to review our Privacy Statement for a comprehensive description of how FIA may use your personal information and out key privacy policies.
Filming, Videotaping and Recording Policy
No portion of this event may be filmed, videotaped or otherwise recorded for posting or distribution without prior authorization from FIA. Further, by registering for this program, you consent to FIA’s use, reproduction, editing, publishing and distribution of any photographs, videos and other recordings that FIA or its designated photographer may take of registrants and attendees during the program.
What is included with the conference registration?
Access to programming, exhibits, all social events, networking breaks, and lunches.
Is there a discount/promo code available to attend the evening events only?
Unfortunately, this option is not applicable. Please click here to view current registration rates.
Will this event be accessible virtually?
At this time, L&C 2023 is scheduled to take place in person only. Please continue to monitor the event’s landing page for updates.
Do I need an FIA membership to attend an event?
No. FIA does not require membership to attend this event. However, registrants are required to create a profile to complete their registration.
How can I register a group?
Two or more registrants are required, the registrar is NOT required to be one of the two registrants, and the registrar’s profile MUST have group registration permissions. If “register group or company” is not available to you during the registration process, contact Member Services to request permissions. Please note permissions could take up to 48 hours to be updated.
Once you have group registration permissions, click the “register now” button on the event page. On the next page, you will be required to log in to the FIA website. If you are an existing user, enter your email address and password. Next, click on “register group or company on the next page”. On the group registration page, enter the first name of the employee to be registered in the ‘find employee’ box. If they are in our database, they will appear in the search box. Otherwise, you will need to create a record for them. Once this page is populated, click on ‘add attendee’ at the bottom of the page. Repeat the process for each attendee.
Contact memberservices@fia.org for additional assistance.
How do I make a registration payment?
Invoices can be paid via check or wire, as detailed in the confirmation. To pay by credit card, contact Member Services to request a payment link.
How do I book my hotel accommodations?
The L&C conference will take place at the Marriott Marquis in Washington DC.
FIA has reserved a block of rooms at the hotel for conference attendees. Rates start at $309.00 per night and are quoted exclusive of applicable state and local taxes, occupancy, service, and/or other hotel fees (currently 14.95%). The cut-off date for the group rate is April 4, 2023. Rooms are available on a first-come, first-served basis. Please note that once the block is sold out, the hotel’s market price applies regardless of the date of booking and that some rate categories sell out faster than others.
Make sure to confirm all cancellation policies and forfeiture of deposits directly with the hotel when booking your reservation.
Hotel reservations may be booked here. https://book.passkey.com/e/50305189
My colleague processed my registration on my behalf, and I have not received a confirmation email.
Only those who registered themselves will receive confirmation emails directly. Please contact Member Services to request a copy of the registration confirmation.
Can I cancel my registration after the April 7 refund deadline?
Yes. Please contact Member Services for assistance.
I am unable to attend the conference due to circumstances that are beyond my control, can I transfer my registration to my colleague?
Yes. Registration transfers may be made at any time without penalty. Please note, your colleague must not be a currently paid attendee. Please Member Services for assistance.
If I am unable to attend L&C 2023, can I transfer my funds to a future conference?
Please contact Member Services for assistance.
Make Valuable Client Connections

Contact Toni Vitale Chan, Vice President of Business Development at +1 312.636.2919 to discuss sponsorship and exhibit opportunities.
L&C 2023 Sponsors
Platinum
Law & Compliance Division
-
Learn more
The FIA Law & Compliance Division monitors legal and regulatory developments affecting the futures and derivatives industry, assisting FIA in providing information to help relevant regulators and courts make decisions that affect the futures and cleared swaps community. The division discusses issues with U.S. and International regulators and exchanges and prepares comment letters, position papers, and court briefs when appropriate. More than 600 industry professionals are members of the division and take part in regularly scheduled events and webinars in addition to the annual conference.