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Past Events

Past Events

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CCO Annual Reports: What You Need to Know

part of the FIA Law & Compliance Division webinar series
13 February 2020 10:00am to 11:00am EST
The Chief Compliance Office (CCO) Annual Report requirements for swap dealers and futures commission merchants have recently changed, with CFTC staff issuing rule amendments in 2018, staff guidance...

CFTC and SRO Enforcement Trends: The year in review

part of the FIA Law & Compliance Division webinar series
30 January 2020 10:00am to 11:00am EST
2019 was a busy year for CFTC and SRO enforcement. At the first FIA Law & Compliance Division webinar for 2020, Stephen Obie and Alice Trantner Wilson of Jones Day will review the key enforcement...

Cybersecurity Workshop

presented by the Market Technology Division
29 October 2019 2:30pm to 4:30pm CDT
Hilton Chicago // 720 S. Michigan Avenue // Chicago, IL
Is your firm prepared for a ransomware attack? Join the Market Technology Division on Tuesday, October 29 for an interactive cybersecurity workshop that takes you through a ransomware scenario that...

Recent Trends: Foreign Corrupt Practices & The CEA

part of the FIA Law & Compliance Division webinar series
22 August 2019 10:00am to 11:00am EDT
In March 2019, the CFTC issued a new enforcement advisory, signaling for the first time its intention to become involved in investigations relating to foreign corrupt practices. Please join Sullivan...

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