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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.

Leap Second Event Preparedness

an FIA Market Technology Division webinar
14 May 2015 11:00am EDT
The FIA Market Technology Division hosted a webinar on Thursday, May 14 at 11:00 a.m. EST/10:00 Central to discuss the upcoming June 30 "Leap-Second" event.






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