Past Webinars
-
CFTC’s anti-corruption initiative
In March 2019, the CFTC’s then-Enforcement Director surprised many when he said that the CFTC would investigate and bring enforcement actions relating to foreign corrupt practices that impacted that swaps and futures markets.
CONTINUE READING -
DOJ enforcement priorities in commodities & derivatives markets: A discussion with DOJ leadership
During this discussion, James McDonald, Sullivan & Cromwell Partner, interviews Robert Zink, U.S. Department of Justice, Acting Assistant Attorney General (and Chief of the DOJ Fraud Section from January 2019 to August 2020), regarding DOJ’s enforcement priorities in the commodities and derivatives markets and white collar area more generally.
CONTINUE READING -
Complying with cybersecurity regulations in an increasing threat environment
Cybersecurity regulation is evolving in the commodity and derivatives markets. Multiple regulations, rules and CFTC requirements are whipsawing challenging companies, while the risk of hacking is on the rise.
CONTINUE READING -
New EU and UK prudential regimes for investment firms
In this webinar, a panel of experts discuss the new EU and UK prudential regimes for investment firms (EU IFR/IFD and UK IFPR).
CONTINUE READING -
New and Revised Versions of the International Uniform EFRP and Block Transactions Agreement
The FIA L&C Division is publishing new and revised versions of the International Uniform EFRP and Block Transactions Agreement (formerly known as the International Uniform EFP Transactions Agreement).
CONTINUE READING -
The SEC’s new derivatives rule: practical implications for funds
The SEC recently adopted Rule 18f-4 under the 1940 Act, which will establish a comprehensive framework for the use of derivatives transactions by registered funds.
CONTINUE READING -
2020 annual trends in futures and options trading
2020 was a record-breaking year for trading activity in the global exchange-traded derivatives markets, with both volume and open interest reaching all-time highs.
CONTINUE READING -
CFTC enforcement update: 2020 in review and outlook for 2021
This panel provides an overview of the CFTC’s considerable volume of enforcement activity in 2020. Panelists focus on enforcement trends and developments while also recapping the busy regulatory agenda of the outgoing administration. The panel provides a look ahead to what market participants can expect from the CFTC under the incoming Biden Administration in 2021.
CONTINUE READING -
FIA Webinar: ICE Futures U.S. and ICE Futures Canada Disruptive Trading Practices
Representatives from ICE Futures U.S. and ICE Futures Canada gave a presentation and answered questions regarding recent changes to ICE Futures US and ICE Futures Canada rules governing disruptive trade practices. Speakers included Mark Fabian, Vice President, Market Regulation, ICE Futures U.S. and Steve Teller, Director, Market Regulation, ICE Futures Canada.
CONTINUE READING -
FIA Webinar: Washington Update: A Briefing on CFTC Reauthorization, CFTC Nominations Process & Other Key Issues
The U.S. House of Representatives is set to consider legislation to reauthorize the Commodity Futures Trading Commission. The bill, which was approved by the House Agriculture Committee on April 9 by a voice vote, reauthorizes the CFTC through September 2018. The legislation also includes provisions to better protect customer assets, it revises the organizational and operational requirements of the CFTC, and it provides regulatory relief to end-users of derivatives. Dawn Stump, FIA's head of government affairs, will give a brief presentation on the reauthorization legislation approved by the House Agriculture Committee and the process for advancing such legislation through the full House of Representatives and U.S. Senate, as well as the status of current CFTC nominees being considered in the Senate.
CONTINUE READING
