Learn about regulatory developments, industry trends, market conduct issues and more

Past Webinar Resources

  • CTA, IB or SEF?

    The webinar will cover the CFTC Division of Market Oversight SEF Advisory issued in September 2021 and related CFTC enforcement orders including last fall’s order against Asset Risk Management, and the practical implications of those actions for CTAs, IBs, and their clients.

  • 2022 Annual ETD Volume Review

    Trading volume in the global exchange-traded derivatives is on track to another record for the fourth year in a row. Join us for a discussion on trends in trading activity in the global futures and options markets. Our guest speaker will be Mike du Plessis, Global Head of Listed Derivatives at Liquidnet, a part of the TP ICAP Group. Using a full year of data from more than 80 exchanges, we will look at key trends such as the impact of the Libor transition on interest rate futures, shifts in intraday trading behavior, and the impact of the Ukraine war on energy markets.

  • SEC Enforcement Priorities

    The panel will discuss SEC tactics such as the increasingly sophisticated use of whistleblowers and trading data surveillance, and evolving enforcement priorities, such as the SEC’s focus on disclosures, sales practices, and other policies and procedures related to sales of complex products and trading strategies, with examples involving complex options-based strategies and variable annuities.

  • Digital Asset Regulation and Insights for Asset Managers

    K&L Gates discusses the evolving regulatory environment, recent enforcement actions and proposed U.S. legislation for digital assets and their impact on the asset management industry.


All Past Webinar Resources

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