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Webinars

Webinars

You are now viewing 51 - 10 of 71 results

OTC Margin Rules, US & EU Perspectives

part of the FIA Law & Compliance Division webinar series
26 May 2016 10:00am to 11:00am EDT
Different regulatory bodies have come out with final rules setting forth requirements for the posting and collecting of margin between certain counterparties to certain OTC swaps. In the US, the CFTC...

Designing Your SEF Compliance Program

part of the FIA Law & Compliance Division webinar series
21 April 2016 10:00am EDT
This webinar will identify key SEF rules that market participants should review when designing their compliance program for trading on SEFs and highlight important differences between the rules of...

NFA Bylaw 1101 Compliance

part of the FIA Law & Compliance Division webinar series
14 April 2016 10:00am to 11:00am EDT
NFA Bylaw 1101 prohibits NFA members from conducting futures-related business with non-members that are required to be registered with the CFTC but have not done so. By its terms, Bylaw 1101 imposes...

CFTC and SEC Dodd-Frank Whistleblower Rules

part of the FIA Law & Compliance Division webinar series
10 March 2016 10:00am to 11:00am EST
The Commodity Futures Trading Commission and the Securities and Exchange Commission’s Dodd-Frank whistleblower rules have strengthened the regulators’ enforcement regimes and encouraged employees to...

Standardizing CCP Rule Analysis: Using a Comparative Assessment Tool to Evaluate Implementation of the PFMIs

part of the FIA Law & Compliance Division webinar series
11 February 2016 10:00am to 11:00am EST
In this webinar, John Williams, a partner at Milbank, Tweed in New York and Michael Voisin, a partner at Linklaters in London, will demonstrate the FIA CCP Risk Review™, and then go on to discuss what it reveals about CCP transparency and the practical realities of the implementation of CPMI-IOSCO’s Principles for Financial Market Infrastructure (PFMIs).

“Spoofing": How to Deal with This Tricky Offense and Its Regulatory Guidelines

part of the FIA Law & Compliance Division webinar series
14 January 2016 10:00am to 11:00am EST
This webinar provides an overview of the relevant statutory provisions, rules, and related guidance on spoofing. The session also draws from several recent (and a few not-so-recent) spoofing cases to provide a practical perspective of the types of activity that have been pursued by regulators in the past, and that may be investigated in the future.

Understanding Reg AT

an FIA webinar
16 December 2015 3:30pm to 4:45pm EST
On December 16, 2015, FIA held a webinar focused on educating attendees on the CFTC's new proposed rules on automated trading (referred to as "Regulation AT"). The webinar also identified the market participants impacted by Regulation AT.

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