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Webinars

Webinars

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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...

Tag 1031 FAQ

12 November 2019 9:00am to 10:00am EST
In December 2018 the FIA and FIA Tech published Guidelines for the Simplified FIA Execution Source Code Schema . The purpose of the schema is to provide futures industry participants that are...

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