An L&C Division Webinar14 December 2023 • 10:00 AM - 11:00 AM ET
Is the CFTC’s Enforcement Program expanding the supervisory duties of CFTC registrants beyond the text of the CFTC’s supervision rules? The panel will focus on recent trends in CFTC enforcement actions to help you assess the appropriate scope of your supervisory policies and procedures for registrants and non-registrants alike. A representative of the CFTC’s Market Participants Division will also discuss her views about the duty to supervise.
|Host:||Natalie Tynan, Associate General Counsel, Head of Technology, Documentation Strategy, FIA|
|Panelists:||Pamela Geraghty, Deputy Director, Market Participants Division, CFTC
Margo Bailey, Partner, Willkie Farr & Gallagher
Neal Kumar, Partner, Willkie Farr & Gallagher
Paul Pantano Senior Counsel, Willkie Farr & Gallagher
|Date/Time:||Thursday, 14 December 2023 | 10:00 a.m. – 11:00 a.m. ET|
This webinar is intended for informational purposes only and is not intended to provide investment, tax, business, legal or professional advice. Neither FIA nor its members endorse, approve, recommend, or certify any information, opinion, product, or service referenced in this webinar. FIA makes no representations, warranties, or guarantees as to the webinar’s content.