Past Webinars
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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.
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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.
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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.
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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.
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Q3 2022 Trends in Futures and Options Trading
At the global level, trading volume is far ahead of last year, with more than 60 billion futures and options traded on exchanges during the first nine months of the year.
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New Frontiers in Recordkeeping and Compliance
This timely session reviewed the current enforcement landscape, and consider practical solutions that regulated firms can adopt to promote compliance. Given the cross-border nature of the commodity and derivatives markets, specific issues related to data privacy, managing preservation requests, and addressing the ability to compel production are also addressed.
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Cross Border: The Asia-Pacific Trading & Execution Landscape
The exchange-traded derivatives industry has been influenced and shaped by various dynamics, regionally and globally. In this webinar, a broad spectrum of industry experts discussed how they are adapting to these forces and to share their views on future developments.
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Arbitrations: From the Starting Gate to the Finish Line
With the rise and risks associated with litigating through the arbitration process, this panel will provide an overview of the processes for NFA, AAA, and FINRA arbitrations. The panel will start the discussion with the importance of building the necessary foundation for success through preparation, continuing through discovery, and strategies for success at the hearing. The panel will also cover the important differences amongst NFA, AAA, and FINRA arbitrations and their respective processes.
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Digital Assets - The Transformation of Financial Markets
Join our panel of experts as they discuss the opportunities, and challenges for market participants, and share what they see as the future state of market infrastructure and ecosystem.
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Agency Deference No More? Lessons from West Virginia v. EPA
Drawing on their firm’s successful efforts in this watershed case, partners from Jones Day will address how the major questions doctrine will affect the rules governing your businesses—and how it can be a tool to challenge those rules that go astray from the statutes.
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